State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Goldman Plans to Move Asset Managers From New York to This State
By Sridhar NatarajanThe deliberations at the Wall Street icon, often a trendsetter for the industry, are aimed at cutting costs.
December 03, 2020
10 Worst State COVID-19 Death Rates, From a Leaked Government ReportAn advocacy group posts the closely held 50-state version of a recent White House Coronavirus Task Force report.
December 01, 2020
Delaware Floats 'Best Interest' Rule for Annuity SalesLike rules adopted by Arizona, Iowa and Rhode Island, Delaware's proposal would align with the SEC's Regulation Best Interest.
November 30, 2020
NASAA Adopts Rule on CE Credits for Investment AdvisorsThe group's model rule requires IARs to take 12 hours of continuing education each year.
November 25, 2020
12 Best States for the Middle ClassSmartAsset rates the states on factors such as homeownership, job growth and income levels.
November 20, 2020
Morgan Stanley Fires Brokers Over Legacy Account PaymentsThe firings involve a program allowing departing brokers to split fees and commissions with the reps who inherit their accounts.
November 19, 2020
Kamala Harris' Former Policy Chief Gives Peek Into New White House PrioritiesDaniel Suvor, who worked with Harris in California, discusses what he expects to see on the next White House's to-do list.
November 10, 2020
50 States of New Data for the Third Wave of COVID-19Mortality is looking a little worse in much of the country, and a lot worse in Wyoming.