State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Don't Sleep on Reg BI Compliance, Industry Officials Warn
By Melanie WaddellDespite legal challenges, the obligations Reg BI imposes on financial firms "are real and immediate," says Bates Research.
January 21, 2020
The 3 Things CEOs Are Most Concerned AboutPWC's latest CEO survey found deep worries about 2020 and beyond.
January 17, 2020
Checklist Shows Impact of N.Y. Best Interest RulesA New York state producer will have to document every client interaction.
January 16, 2020
NAIC Prepares to Collect State-by-State LTCI Rate DataSome officials say the 'tough states' are shifting residents' LTCI claim costs to LTCI policyholders in other states.
January 09, 2020
Beware California's New Data Privacy LawIt may affect you if you have clients there, and other states may follow suit.
January 07, 2020
Business Groups Blast Massachusetts Fiduciary Plan as Comment Period EndsThe proposed rule raises "serious new legal and practical concerns" and should be delayed until after SEC Reg BI is implemented, they said.
December 31, 2019
NAIC Sales Standard Proposal Includes Reg BI Safe Harbor: IRIThe group says the safe harbor will reduce the need for financial professionals to comply with multiple sales standards.
December 20, 2019
'Be Wary of Bond Ratings': NASAAAn advisory from the state regulators' group explains why bond ratings may still be inflated years after the financial crisis.