State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
RBC to Pay $275K Over Anti-Money Laundering Failures
By Melanie WaddellOver seven years, a FINRA order states, the firm did not have an AML compliance program "reasonably designed to detect and cause the reporting of suspicious transactions."
July 28, 2026
With Lifestyle Creep 'the Rule, Not the Exception,' Here's How Advisors Can HelpAs clients earn more, expenses often rise, erasing gains that could be put toward retirement planning.
July 28, 2026
Corient Adds $4.9B New York RIAFounded by Larry Cohen, Seven Bridges Advisors is a multi-family office and wealth manager.
July 28, 2026
12 States Most at Risk From Projected Social Security InsolvencyThese locations, a report finds, would take the biggest hit on a 24% benefits cut upon the trust fund's exhaustion.
July 27, 2026
Keep Annuity Math and Disclosures Separate, Industry Groups SayCommenters fear that the NAIC could use its actuarial guideline process to create an extra layer of rules.
July 16, 2026
10 Best MBA Programs for Finance: Princeton Review, 2026Researchers based their selection on such data as the percent of graduates entering the industry and their starting salary.
July 15, 2026
New Bill Would Force Congress to Act on Social SecurityThe Promise Act would start "the process of preserving promised benefits," according to Sen. Bill Cassidy.
July 14, 2026
Social Security 2100 Act ReturnsThe revised bill eliminates the payroll tax wage cap, among other changes to the program.