State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
State AGs Urge Court to Expedite Reg BI Oral Arguments
By Melanie WaddellThe states and XYPN want "to bring certainty for the industry" before the planned June 30 effective date, said Michael Kitces.
April 16, 2020
New Jersey Delays Final Fiduciary RulemakingAn executive order from the governor delayed this and other proposals in response to the COVID-19 pandemic.
April 07, 2020
How California's Privacy Act Impacts AdvisorsAdvisors doing business in the Golden State should review the many tasks needed to protect client information this year and next.
April 03, 2020
On the Way: Stimulus Checks, Fourth Aid PackageSome paper checks may not reach recipients until mid-August.
April 03, 2020
3 Ways to Protect Investors' Access to Financial AdviceRegulation Best Interest needs to succeed, and regulation by enforcement needs to stop.
March 17, 2020
7 Facts About the New Variable Product Summary Prospectus RegsThe SEC has tried to give variable products sellers something nice to think about.
March 13, 2020
GMO's Grantham Sees a Silver Lining in Coronavirus CrisisThe legendary investor tells ThinkAdvisor how global trade, consumer behavior and the climate could ultimately benefit.
March 13, 2020
Trump Declares National Emergency Over Coronavirus; Markets ReboundThe declaration will "open up access to up to $50 billion"; the House says it will vote today on an aid bill.