State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Stifel CEO Praises SEC Reg BI, Blasts House Vote
By Jane Wollman RusoffThe new regulation is the most significant enhancement of broker rules since 1934, CEO Ron Kruszewski tells ThinkAdvisor.
June 14, 2019
Trade Groups Press New Jersey to Embrace SEC's Reg BI, Drop Fiduciary PlanSome groups say it would confuse investors, but consumer advocates still support the state's proposal.
June 11, 2019
Crypto Exchanges Are Facing Biggest Regulatory Hurdle YetThe multi-government Financial Action Task Force is preparing to release guidance that clarifies how participating nations should oversee digital assets.
June 10, 2019
LIMRA, LOMA Offer Online 'Best Interest' Training for NY Reg 187New York's best interest and suitability regulation, which takes hold Aug. 1, is being challenged in court.
June 10, 2019
11 Worst States for JobsThese states score worst on factors like commute time, hours spent working and unemployment rate.
May 29, 2019
5 States Where Income Inequality Increased the MostThese might be improving as markets for life insurance for the wealth transfer sector, or for pawnbroking.
May 24, 2019
Florida Wins Big as Wealthy Leave Northern StatesThe Sunshine State nets $17.2 billion from inbound moves vs. outbound.
May 22, 2019
NASAA Adopts Cyber, Privacy Model Rule, Releases Annual ReportNASAA is also exploring a continuing education requirement for IARs.