State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Cybersecurity Requires a Collaborative Approach
By Michael RothmanNews headlines remind us that cyberattacks are among our greatest global threats. That's why cybersecurity requires collaboration between industry and regulators.
July 04, 2017
New Jersey Sets Horizon Blue Reserve Cap'Excess' cash was going to go to the state. Now, it will go toward meeting enrollees' needs.
July 03, 2017
Illinois Rushes to Enact Budget as Threat of Junk Rating LoomsA federal judge has ordered the state to come up with cash for its Medicaid program.
July 01, 2017
New Jersey Shuts Down Government Over Fight With Blue CrossThe governor wants to make Horizon Blue the state's "insurer of last resort," and use $300 million of its reserves.
June 29, 2017
DOL Releases Fiduciary Rule Request for InformationComments could lead to new exemptions or changes to the fiduciary rule and PTEs, as well as extending the Jan. 1 compliance date.
June 29, 2017
Aetna to Move Headquarters to New YorkThe new executive offices will be in the Meatpacking District, next to a big Apple store.
June 23, 2017
NASAA Mulls Model Cybersecurity Rule for Investment AdvisorsNASAA is also developing cyber guidance and a checklist for small advisory firms to assess their cyber preparedness.
June 22, 2017
How to Avoid Failure to SuperviseSupervision is one of those compliance buzzwords that gets tossed around like its meaning is obvious. I submit to you that it is not.