State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
FSI Is Optimistic It Can Work With New Congress
By Janet LevauxLeaders of the advocacy group are also focused on state regulatory action and health care coverage for members.
January 14, 2019
DOL Rollover Guidance Expected After SEC Releases Reg BILabor will need to clarify what constitutes fiduciary advice and when brokers need exemptive relief, Stradley lawyers write.
January 06, 2019
Linda Lacewell Could Oversee New York State's Sales StandardsLacewell is on track to succeed Maria Vullo as the Empire State's new financial services superintendent.
January 03, 2019
10 States Hit Hardest by the Government ShutdownWalletHub compared the 50 states and the District of Columbia across five key metrics.
December 21, 2018
UBS Agrees to $68M Libor SettlementTo date, states have recovered some $488 million from settlements tied to issues with manipulation of the London Interbank Offered Rate.
December 19, 2018
Digital Assets and ICOs to Get More Clarity, Face More Rules in 2019Attorneys see more CFTC guidance on virtual currencies as commodities, and continued fiduciary pressure on advisors and brokers involved in crypto.
December 14, 2018
State Street Nearing CEO Transition, as Hooley RetiresRon O'Hanley, president and COO, will take the reins on Jan. 1 for the asset manager.
December 10, 2018
Fearless Girl Moves to Her New HomeState Street says the statue will have a "greater impact" in front of the New York Stock Exchange.