State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Galvin: Scottrade Fiduciary Case Still On Despite 5th Circuit Ruling
By Melanie WaddellMassachusetts Securities Regulator Galvin wants the SEC "to re-draft" its Regulation Best Interest for brokers "and mandate a true fiduciary standard that investors deserve."
June 14, 2018
Top 10 States With the Best EconomiesWalletHub rated the states based on economic activity, economic health and innovation potential.
June 13, 2018
LPL, Massachusetts Reach Deal Tied to $26M Unregistered Securities FineOther states likely will make similar announcements regarding the return of money to investors as part of a nationwide agreement.
June 11, 2018
Scottrade's Fiduciary Infractions Violate State Law: GalvinDOL rule or no DOL rule, Scottrade violated its own policies and that's not OK under state law, Galvin's lawyers say.
May 29, 2018
State Advisor Landscape SnapshotState advisor annual report details exam infractions, new developments and types of services provided
May 24, 2018
New Cybersecurity Laws Provide Direction, and Hurdles, for AdvisorsStates are developing their own cybersecurity regulations. Here's what advisory firms should know.
May 21, 2018
State Regulators Bust ICOs in 'Operation Cryptosweep'NASAA said the sweep was one of the largest coordinated series of enforcement actions in North America on ICOs and related cryptocurrencies.
May 17, 2018
State Street Global Advisors Drops 'SSGA,' Moves 'Fearless Girl'To clear up some confusion, the asset manager is moving away from using the shorthand SSGA, effective immediately.