State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
House Passes Bill Expanding Whistleblower Protections
By Melanie WaddellMeanwhile, the House Financial Services Committee passed bills to help consumers with blemished credit reports.
June 27, 2019
Stifel CEO Praises SEC Reg BI, Blasts House VoteThe new regulation is the most significant enhancement of broker rules since 1934, CEO Ron Kruszewski tells ThinkAdvisor.
June 20, 2019
New York Senate Confirms State's Financial Services RegulatorLinda Lacewell started out as a prosecutor, in Brooklyn.
June 14, 2019
Galvin Proposes Fiduciary Rule in Massachusetts"The SEC has failed to provide investors with the protections they need" through Reg BI, Galvin said.
June 14, 2019
Trade Groups Press New Jersey to Embrace SEC's Reg BI, Drop Fiduciary PlanSome groups say it would confuse investors, but consumer advocates still support the state's proposal.
June 11, 2019
Crypto Exchanges Are Facing Biggest Regulatory Hurdle YetThe multi-government Financial Action Task Force is preparing to release guidance that clarifies how participating nations should oversee digital assets.
June 10, 2019
LIMRA, LOMA Offer Online 'Best Interest' Training for NY Reg 187New York's best interest and suitability regulation, which takes hold Aug. 1, is being challenged in court.
June 10, 2019
11 Worst States for JobsThese states score worst on factors like commute time, hours spent working and unemployment rate.