State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
LPL, Massachusetts Reach Deal Tied to $26M Unregistered Securities Fine
By Janet LevauxOther states likely will make similar announcements regarding the return of money to investors as part of a nationwide agreement.
May 24, 2018
New Cybersecurity Laws Provide Direction, and Hurdles, for AdvisorsStates are developing their own cybersecurity regulations. Here's what advisory firms should know.
May 21, 2018
State Regulators Bust ICOs in 'Operation Cryptosweep'NASAA said the sweep was one of the largest coordinated series of enforcement actions in North America on ICOs and related cryptocurrencies.
May 17, 2018
State Street Global Advisors Drops 'SSGA,' Moves 'Fearless Girl'To clear up some confusion, the asset manager is moving away from using the shorthand SSGA, effective immediately.
May 08, 2018
Tech Gurus Discuss the Future of FintechZestFinance's Merrill, BofA's Bessant, Betterment's Ziemer discuss fintech policy at the recent Financial Services Roundtable FinTech Ideas Festival.
May 07, 2018
NASAA Releases Snapshot of State Advisor Landscape, Including Top Exam InfractionsAt public policy event, NASAA President Joe Borg shares his views on cyber, cryptocurrencies, fintech and other hot topics.
May 02, 2018
States Fine LPL $26M Over Unregistered Securities SalesThe IBD must repurchase some unregistered, nonexempt securities sold to clients over the past 12 years, plus interest.
May 01, 2018
5 States Where Individual Major Medical Enrollment Was SadTypical statewide average monthly premiums rose 21%. In one state, they rose 99%.