State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
NASAA Warns of Marijuana-Related Crowdfunding Scams
By Elizabeth FestaCrowdfunding capital-raising model used to persuade potential investors to fund a marijuana business can be risky due to capitalization issues, NASAA warns
October 12, 2018
State Enforcement Actions Spark Jump in Jail TimeState securities regulators brought enforcement actions last year resulting in 1,985 years of prison time and probation, a 47% increase over the prior year.
October 05, 2018
'Heightened Supervision' Plans Are a Must for BDs: NASAAIn coordinated exams, state securities regulators found that 90% of examined firms with a registered reps on a heightened supervision plan reported no complaints against that rep.
October 01, 2018
Cars, Cows and a Crisis Averted: Highlights of New Nafta DealA look at how different sectors are likely to be affected by the latest trade accord.
September 27, 2018
New Jersey Plans Fiduciary Rule for Broker-DealersState officials say the SEC's best-interest proposal is not strong enough.
September 27, 2018
State Street to Vote Against More Directors at Male-Only BoardsAlmost 1,000 boards still lack even one female director; bank will give companies three years to find women candidates.
September 27, 2018
Required: Referral Fee ComplianceSolicitor arrangements can cause issues for advisors if they don't follow both SEC and state requirements.
September 25, 2018
Trump Immigration Draft Leaves Out ACA Exchange SubsidiesMistakes in this area could get health insurance clients kicked out of the country.