State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Licensing Makes It Harder to Move for Work
By Virginia PostrelYou aren't the only professionals out there who face oversight creep.
December 21, 2017
Client Testimonials: Get the Benefits Without Breaking the RulesYou can't use client testimonials outright. But there are other ways to use your current clients' stories to connect with prospects.
November 21, 2017
10 Most Tax-Friendly States for Retirees: 2017You cant always judge a retirement place by its weather, although low taxes in some northern states may warm a retirees heart.
November 15, 2017
Vullo Discusses New York's Role in National Cybersecurity RegsThe NAIC has used New York's cybersecurity regulations as its model.
November 09, 2017
17 Hottest States for Jobs as a Financial AdvisorAccording to the Bureau of Labor Statistics, these states show surging job growth for financial advisors through 2024.
November 08, 2017
Republicans Get Dragged by Unpopular TrumpHere's one columnist's ideas about what Tuesday's results mean.
October 31, 2017
Mylan's President Targeted in Generic Drug Pricing ProbeThe executive is emphatically denying the allegations.
October 30, 2017
Take Three: Borg's Back as NASAA ChiefLongtime Alabama Securities Commission Director Joe Borg is back as president of NASAA his third time filling the seat.