State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
How Ace Stock Picker John Buckingham Reacted to GameStop Squeeze
By Jane Wollman RusoffThe longtime value investor tells ThinkAdvisor some of his 2021 stock picks and discusses why he's optimistic now.
January 22, 2021
Texas Broker Charged With Child Sexual Assault, IndecencySA Stone Wealth Management broker also was charged with an indecent assault on a female adult, according to court records.
January 20, 2021
SEC Expected to Shift Focus to Advisors, BDs Under BidenThe SEC under Gensler will shift priorities away from retail investor fraud toward the conduct of institutions, securities lawyers predict.
January 14, 2021
Biden Seeks $1.9T for Relief in First Economic PlanCovid-19 package focuses on vaccines, includes raising the minimum wage to $15 an hour.
January 13, 2021
Trump Is Impeached Again, Faces Senate Trial on Riot at CapitolThe historic 232-197 House vote makes Trump the only U.S. president to be impeached twice. It was supported by all Democrats and 10 Republicans, including Liz Cheney.
January 12, 2021
IRI Asks Maine to Adopt Standard Best-Interest RegsThe group says it also wants states to adopt a standard version of NAIC model update guidance.
January 07, 2021
Alexandra Lebenthal Left Her Family Firm, and She's 'Loving It'Lebenthal, "socialite" no more, tells ThinkAdvisor how she has found her passion as an investment bank employee helping female business owners.
January 06, 2021
50 States of Latest Government COVID-19 Pandemic Intensity DataIn five states, more than 44% of the available adult ICU beds are filled with patients with COVID-19.