State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
DOL Rule Rehearing Is 'Unjustifiable': Eugene Scalia
By Melanie WaddellThe lawyer who fought to vacate the rule says requests like those filed by the AARP and three states have a low success rate.
April 16, 2018
10 States Whose Residents Pay the Most Federal TaxesPopulation, wealth and number of returns filed influence total taxes paid.
April 16, 2018
10 States Whose Residents Pay the Most Federal TaxesPopulation, wealth and number of returns filed influence total taxes paid.
April 10, 2018
How Trump's ACA World May Work in 2019, for AgentsNothing in the 2019 parameters document will require issuers to pay agent or broker commissions.
April 07, 2018
Employers Face More State and Local Paid Family Leave LawsOne challenge is that the leave access triggers differ from jurisdiction to jurisdiction.
April 06, 2018
Scottrade Files to Send Galvin's Fiduciary Charges to Federal CourtScottrade argues that Massachusetts is trying to enforce the fiduciary rule even though Labor has suspended enforcement.
March 22, 2018
Orion's New 'Compass' Automates RIA ComplianceProactive tools include mock audits, SEC exam data retrieval; anti-money laundering screens.
March 08, 2018
NASAA Cautions Investors Against Unicorn CompaniesAn advisory from NASAA notes that investing in unicorns is speculative and generally unavailable to retail investors.