State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
The 3 Things CEOs Are Most Concerned About
By Ginger SzalaPWC's latest CEO survey found deep worries about 2020 and beyond.
January 09, 2020
Beware California's New Data Privacy LawIt may affect you if you have clients there, and other states may follow suit.
January 07, 2020
Business Groups Blast Massachusetts Fiduciary Plan as Comment Period EndsThe proposed rule raises "serious new legal and practical concerns" and should be delayed until after SEC Reg BI is implemented, they said.
December 31, 2019
NAIC Sales Standard Proposal Includes Reg BI Safe Harbor: IRIThe group says the safe harbor will reduce the need for financial professionals to comply with multiple sales standards.
December 20, 2019
'Be Wary of Bond Ratings': NASAAAn advisory from the state regulators' group explains why bond ratings may still be inflated years after the financial crisis.
December 06, 2019
Boffo Year for Markets, but State Fiduciary Regs Loom: SIFMAThe CEO of the securities trade group briefed reporters on a stellar market year and potential new rules.
December 02, 2019
Galvin Signs Off on Massachusetts Fiduciary RuleThe rule will now go through a formal comment period and hearing before the regulations can be promulgated, Galvin's office said.
November 26, 2019
Wash. State Continues Public LTCI Effort, in Spite of Ballot Measure ResultsThe state's voters rejected the idea of paying a tax on wages to fund the program.