State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Massachusetts Finalizes Fiduciary Rule; Consumer Group 'Disappointed' With Changes
By Melanie WaddellThe rule, set to take effect in March, has been watered down from its original version, Barbara Roper says.
February 13, 2020
Full NAIC Adopts Annuity Suitability Model UpdateNew York's superintendent voted against it
February 13, 2020
NASAA Proposes CE Requirement for Investment Advisor RepsThe state regulators would require 12 hours of training a year for IARs.
February 05, 2020
Income Gap in K-12 Financial Education Remains Despite Progress: StudyMany low-income children lack access to economics and personal finance education even as the number of states requiring it grows.
January 31, 2020
Trump Would Likely Win if Election Were Held Now: Ian BremmerPolling in swing states shows he would beat the moderate Democrats, Bremmer says at the TD LINC conference.
January 24, 2020
Don't Sleep on Reg BI Compliance, Industry Officials WarnDespite legal challenges, the obligations Reg BI imposes on financial firms "are real and immediate," says Bates Research.
January 24, 2020
What If the United States DID Sell Alaska?The deal could have positive and negative effects on life insurers' $422 billion in U.S. debt securities.
January 22, 2020
NASAA Names an SEC Veteran as General CounselVincente Martinez replaces Valerie Mirko, who left NASAA in October.