State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Wells Fargo Consumer Redress Review Begins
By Bernice NapachThe program was created after a $575 million settlement was reached between Wells Fargo and the states.
February 19, 2019
10 Riskiest States for SeniorsSurprisingly, the top state on this list is a hot spot for retirees.
February 13, 2019
Top 10 Safest States for SeniorsTheSeniorList.com ranked states on risks to seniors like fraud, living alone and violent-injury deaths.
February 11, 2019
Maryland's 'Sweeping' Fiduciary Bill Puts Advisors Under More Stringent StandardMaryland's 2019 bill is also "very broad as applied to insurance producers," states Stradley Ronon attorney William Mandia.
February 08, 2019
Maryland Introduces Fiduciary Rule as Part of a Broader Consumer BillMaryland is one of a growing number of states to consider fiduciary rules for broker-dealers and other financial agents.
February 07, 2019
Trump Says He's 'Open' to Changing SALT CapBut Senate Finance Committee Chairman Charles Grassley (R-Iowa) opposes the idea, which essentially nixes any change soon.
February 05, 2019
Florida Official to Fill NAIC Vice President VacancyAltmaier has led a committee involved with a variable annuity captive reinsurance update.
January 31, 2019
Start 2019 Right by Syncing Your Personnel ProtocolsCompliance for advisors doesn't only mean SEC issues. Indeed, several internal factors can trip up advisors, especially with personnel.