State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
17 Hottest States for Jobs as a Financial Advisor
By Ronald PechtimaldjianAccording to the Bureau of Labor Statistics, these states show surging job growth for financial advisors through 2024.
October 30, 2017
Take Three: Borg's Back as NASAA ChiefLongtime Alabama Securities Commission Director Joe Borg is back as president of NASAA his third time filling the seat.
October 26, 2017
Connecticut Lawmakers Approve Budget That Rescues HartfordAetna and Hartford Financial are two of the companies offering to help the city.
October 19, 2017
‘Fearless Girl’ Was Never a ‘Statement of Accomplishment’: State StreetBrie Williams of State Street, which commissioned the statue, discusses her firm's commitment to gender pay equity in the wake of a $5 million lawsuit.
October 09, 2017
California Drug Price Bill Becomes Law as Legal Fight LoomsThe Golden State wants manufacturers to give health plans warnings about big price increases.
October 06, 2017
Bank Behind ‘Fearless Girl’ Statue Settles Gender Pay DisputeState Street will pay will pay $5 million to more than 300 women.
October 06, 2017
Treasury Regulatory Report Zeros In on Accredited Investor Definition, SROsTreasury also recommends allowing single-purpose crowdfunding vehicles advised by an RIA.
October 05, 2017
Deep South, Midwest Seen as Key to Cutting U.S. Smoking RateTwelve states form what looks like a Tobacco Nation.