State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
SEC's Own 'Best Interest' Regs Might Ban Sales Commissions: Legal Analyst
By Allison BellDouglas Schmidt told the NAIC a judge would likely find that the standard has a plain meaning.
March 18, 2019
Nevada Fiduciary Rule Would Scare Off Morgan Stanley, TD AmeritradeThe two firms say they would have to stop serving brokerage customers in the state if the rule is adopted as written.
March 15, 2019
NAIC Developing Executive-Level Committee to Harmonize LTCI RatesThe committee would try to establish a uniform practice for granting rate increases across states.
March 12, 2019
3 Misconceptions About Best InterestKim O'Brien helped kill the DOL fiduciary rule. Here's what she thinks about the new sales standards projects.
March 07, 2019
Let Reg BI 'Play Out': SEC's PeirceMeanwhile, NASAA tells Nevada its fiduciary plan doesn't violate federal securities laws.
March 06, 2019
5 Ways 2020 Medigap Changes Are Driving States WildCompanies or persons that sell the wrong plans to the wrong people could go to prison for five years.
March 05, 2019
State Street Adds Another Fearless Girl Statue in LondonTwo years after Fearless Girl's debut, State Street touts its success in pushing companies to add female directors.
March 01, 2019
Nevada Oversteps Its Authority on Fiduciary Reg: Trade GroupsAdvocacy groups on all sides of the fiduciary debate offered constructive criticism of the rule.