State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
5 States Where Income Inequality Increased the Most
By Allison BellThese might be improving as markets for life insurance for the wealth transfer sector, or for pawnbroking.
May 13, 2019
States Put Teva at Center of Drug Price-Fixing CaseThe plaintiffs say some drug prices increased by more than 1,000%.
May 07, 2019
Raymond James CEO Opposes State Fiduciary StandardsPaul Reilly explained how regulatory pressures—and state fiduciary laws in particular—are advisors' biggest concerns.
May 07, 2019
OCC Mulls Fiduciary Regulations Similar to State Trust LawsThe OCC is seeking comments on whether to update the definition of "fiduciary capacity." Also, NAIFA awaits a decision in its New York fiduciary case.
April 23, 2019
NJ Fiduciary Plan 'Far Exceeds' Other Rules: LawyersEven the now-defunct Labor fiduciary rule didn't go as far, according to the Groom Law Group.
April 17, 2019
New Jersey, Nevada Likely to Pass Fiduciary Rules: AttorneyUnlike the rule that was defeated in Maryland, the New Jersey proposal "doesn't need votes, per se," a lawyer says.
April 09, 2019
States Probe PBMs Over PricingOfficials in Connecticut, Georgia, Kentucky and Ohio are wondering where the money went.
April 08, 2019
Appeals Court Shuts Out Pro-ACA Brief to Keep a Judge in the MixA new judge on the court comes from the law firm that had developed the brief.