State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
SBA Closes PPP Loan Program
By Melanie WaddellWhile the PPP had its problems, clients who used it found it beneficial, planner Leon LaBrecque said.
May 12, 2021
DOL Withdrawal of Independent Contractor Rule Threatens Indie Advisor Business Model: FSIDOL's decision to withdraw the rule stands to increase costs for advisors and their firms, FSI's David Bellaire tells ThinkAdvisor.
April 30, 2021
Barred Long Island Broker Charged in Pre-IPO Share ScamThe broker and his partner allegedly took $436,000 from investors who thought they were buying shares of Peloton, WeWork or Airbnb.
April 16, 2021
Robinhood Sues to Kill Fiduciary Rule in MassachusettsThe state said on Thursday it would seek to revoke Robinhood's license, according to Robinhood.
April 13, 2021
SEC, NASAA Issue Alerts on ESG InvestingRegulators are concerned that a lack of standards for ESG investing has led to policies and practices that can mislead investors.
April 05, 2021
N.Y.'s Millionaires Face Tax Hikes in Proposed BudgetThe richest New York City residents would pay the highest combined state and city tax rates in the U.S., surpassing California.
April 05, 2021
West Coast Is an Annuity-Suitability Update Desert: NAIC MapTexas is in the approval pipeline.
February 25, 2021
Latest Registration Rules in New York May Have Far-Reaching ImpactAdvisors working in or providing advice from the Empire State must comply.