State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
New York RIA Registration Quirks
By Chris StanleyState investment adviser regulations can vary rather dramatically from state to state. Yet New York's regulatory regime stands out as perhaps the quirkiest.
March 17, 2017
Four GOP governors come out against ACA budget measureRepublican moderates say the current AHCA draft shifts too big of a burden to the states.
March 16, 2017
Trump Budget ‘Not a Budget,’ Think Tank SaysTrump's first "skinny" budget is even skinnier than many past presidents'.
March 15, 2017
ACA exchanges see new signups drop, retention riseThe number of new signups fell, but less at state-based exchanges than at HealthCare.gov.
March 09, 2017
NASAA’s Legislative Priorities for the 115th CongressCongress should not only pass the SeniorSafe Act, but also require that at least one SEC Commissioner possess state securities regulatory experience.
March 07, 2017
Trump’s Safe and Sane ‘Regulatory Reform’ IdeaWhats needed for deregulation is a scalpel, an evidence-based effort to see which regulations really deserve to go.
March 07, 2017
Selling insurance across state lines won't helpCampaigns succeed by generating easy-to-understand solutions to problems, but there are no easy answers to improving health care quality and reducing its cost.
March 06, 2017
Kitces, Frankel to Conduct DOL Fiduciary Rule Training in MassachusettsEven a likely delay of the rule "is just that its a delay," says Michael Kitces, who is helping to conduct the training.