State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
DOL Rollover Guidance Expected After SEC Releases Reg BI
By Melanie WaddellLabor will need to clarify what constitutes fiduciary advice and when brokers need exemptive relief, Stradley lawyers write.
December 21, 2018
UBS Agrees to $68M Libor SettlementTo date, states have recovered some $488 million from settlements tied to issues with manipulation of the London Interbank Offered Rate.
December 19, 2018
Digital Assets and ICOs to Get More Clarity, Face More Rules in 2019Attorneys see more CFTC guidance on virtual currencies as commodities, and continued fiduciary pressure on advisors and brokers involved in crypto.
December 14, 2018
State Street Nearing CEO Transition, as Hooley RetiresRon O'Hanley, president and COO, will take the reins on Jan. 1 for the asset manager.
December 10, 2018
Fearless Girl Moves to Her New HomeState Street says the statue will have a "greater impact" in front of the New York Stock Exchange.
December 05, 2018
Insurance Legislators Are Talking About States' RightsOne question is what states can do about health insurance while ERISA is still out there.
November 30, 2018
Critics Blast NAIC State-Accreditation Program as UnconstitutionalState insurance regulators' effort to promote national standards came under attack Thursday.
November 30, 2018
New ACA Waivers Could Boost These 5 ProductsCMS officials say state waiver program designers might need help from brokers.