State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
'Heightened Supervision' Plans Are a Must for BDs: NASAA
By Melanie WaddellIn coordinated exams, state securities regulators found that 90% of examined firms with a registered reps on a heightened supervision plan reported no complaints against that rep.
September 27, 2018
State Street to Vote Against More Directors at Male-Only BoardsAlmost 1,000 boards still lack even one female director; bank will give companies three years to find women candidates.
September 27, 2018
Required: Referral Fee ComplianceSolicitor arrangements can cause issues for advisors if they don't follow both SEC and state requirements.
September 25, 2018
Trump Immigration Draft Leaves Out ACA Exchange SubsidiesMistakes in this area could get health insurance clients kicked out of the country.
September 24, 2018
NASAA Seeks Comments on Cybersecurity Model RuleNASAA proposed a model rule on information security that would encompass both cybersecurity and physical security.
August 21, 2018
3 New Weird Things About the Individual Major Medical MarketThe strangest thing about the market may be that it could continue to lurch forward.
August 21, 2018
Federal Court Dismisses UnitedHealth Suit Over N.Y. Risk-Adjustment ProcessUnitedHealth units object to how New York state has tried to compensate for the federal program's effects.
August 20, 2018
Here's Where It Costs Most, and Least, to Be RichSmartAsset ranked the states based on the tax burdens faced by the highest-earning 1%.