State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
10 Riskiest States for Seniors
By Ginger SzalaSurprisingly, the top state on this list is a hot spot for retirees.
February 08, 2019
Maryland Introduces Fiduciary Rule as Part of a Broader Consumer BillMaryland is one of a growing number of states to consider fiduciary rules for broker-dealers and other financial agents.
February 07, 2019
Trump Says He's 'Open' to Changing SALT CapBut Senate Finance Committee Chairman Charles Grassley (R-Iowa) opposes the idea, which essentially nixes any change soon.
February 05, 2019
Florida Official to Fill NAIC Vice President VacancyAltmaier has led a committee involved with a variable annuity captive reinsurance update.
January 31, 2019
Start 2019 Right by Syncing Your Personnel ProtocolsCompliance for advisors doesn't only mean SEC issues. Indeed, several internal factors can trip up advisors, especially with personnel.
January 29, 2019
FSI Is Optimistic It Can Work With New CongressLeaders of the advocacy group are also focused on state regulatory action and health care coverage for members.
January 25, 2019
Investors Didn't Rush to Safety During Volatile December: State StreetState Street analyzed fixed income flow data to capture behavioral trends across tens of thousands of bond portfolios in a new report.
January 24, 2019
Nevada's 'Expansive' Fiduciary Plan Shocks BDs, RIAsWhat's the biggest difference between Nevada's plan and Reg BI? Nevada's plan includes a private right of action, says Drinker Biddle's Reish.