State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
North Dakota to Vote on Eliminating Property Taxes
By Melanie WaddellThe ballot measure might sound appealing but "could come back to haunt North Dakotans," the Tax Foundation says.
August 29, 2024
Wells Fargo Worker Found Dead in Office After 4 DaysThe employee scanned in on a Friday and was discovered Tuesday, police confirmed.
August 23, 2024
Ex-Edelman Advisor Sues Over Non-Solicitation RulesThe financial professional contends that the provisions are void under California law.
August 21, 2024
New York Judge Approves Columbian Mutual Life's Rehabilitation OrderA rehabilitator can try to get an insurer back on its feet, rather than liquidating it.
August 16, 2024
IRS Teams With States and Tax Industry to Fight ScamsThe Coalition Against Scam and Scheme Treats aims to quickly alert the public to new and emerging threats.
August 15, 2024
All States Should Offer Online Life Agent Exams, Industry Groups SayCritics predict that returning to in-person-only testing will hurt rural candidates and weaken diversity.
August 13, 2024
Life and Annuity Illustrations Confuse Clients, Advisor Tells RegulatorsPerformance charts should be more realistic about the impact of bad years, Richard Weber argues.
August 12, 2024
New Trial Date Set for Former BofA Banker Charged With Merrill Exec's MurderAnthony Duwayne Turner's jury trial in the death of Michelle Avan should begin Sept. 16 in Los Angeles County.