State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Political Heavyweights Rove, Axelrod Weigh In on Election
By Melanie Waddell"It's an uphill fight" for Trump, but "I wouldn't rule him out," Karl Rove says.
September 29, 2020
50 States of New Summer COVID-19 Wave Death Data, Plus D.C.Our latest college and university dashboard suggests that careful schools may be getting the virus under control.
September 28, 2020
State Securities Regulators See Spike in Unregistered Advisor CasesNearly 30 jurisdictions have enacted rules or legislation based on NASAA's model rule to help prevent financial exploitation of older investors.
September 15, 2020
SEC Warns of Rise in 'Credential Stuffing' CyberattacksClient login credentials that are compromised can result in loss of customer assets and unauthorized disclosure of personal information.
September 10, 2020
Economic Rebound More Fragile With U.S. Aid on BrinkBarring additional stimulus, the U.S. recovery "will be more susceptible to downside risks," said economist Gregory Daco.
September 04, 2020
The 14 Hardest-Working States in AmericaIn honor of Labor Day, WalletHub looked at metrics like hours worked, employment rates and time spent volunteering.
September 02, 2020
NASAA Seeks More CE Course Feedback, Adopts Whistleblower ActNASAA hopes to present the proposed model CE rule to state securities regulators for a vote later this fall.
August 31, 2020
As Mass. Starts Enforcing Fiduciary Rule, Galvin Puts His Game Face On"If challenged, my office is ready to defend this rule to the full extent of the law," Galvin told ThinkAdvisor.