State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
New York State Growls at Out-of-State Pension Risk Transfer Marketers
By Allison BellAn official says state law prohibits unauthorized insurers from soliciting group annuity business in New York.
August 02, 2019
New York State Implements Best-Interest Standard for Annuity SalesExpected next year: a New York state fiduciary rule for securities sales.
July 26, 2019
State Fiduciary Rules on a 'Collision Course' With Reg BI: LawyersAs the comment period on Massachusetts' fiduciary plan closed, SIFMA urged the state to let Reg BI "be fully implemented before moving forward."
July 23, 2019
Former Top New York State Financial Services Regulator Starts Advisory FirmShe's joined the NYU law school faculty, and she's regulator-in-residence for the Fintech Innovation Lab.
July 22, 2019
NASAA Releases Investor Alert on Opportunity Zone FundsNASAA's Michael Pieciak discusses what investors should ask before buying in.
July 12, 2019
House Passes Bill Expanding Whistleblower ProtectionsMeanwhile, the House Financial Services Committee passed bills to help consumers with blemished credit reports.
July 11, 2019
The 10th Amendment's Impact on Employee Benefits TodayMaybe, over the next few years, states will have more influence over how your world works.
June 28, 2019
LPL to Pay Fine, Repurchase Securities in New YorkThe payment is part of a $26 million nationwide agreement the IBD made a year ago with NASAA.