State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Insurance think tank forecasts more mergers, political gridlock
By Warren S. HerschRelations on Capitol Hill could be especially contentious if Hillary Clinton wins the White House and the GOP retains control of Congress.
October 05, 2016
UBS to Pay $15M to SEC for Not Training Reps on Risky ProductsThe SEC says UBS reps didn't understand the risks of structured notes and sold them to modest income and retired customers.
October 01, 2016
Liquid AchievementsSolid second-quarter 2016 (Q216) results are reported as American States Water beats estimates: Sales of $112.0 million surpassed our $109.0 million estimate for AWR.
September 30, 2016
Greenberg judge takes trial reins after losing sleep over dealNew York State Supreme Court Justice Charles Ramos interrupted Assistant Attorney General David Nachman and asked Greenberg directly about an issue he said led him to a sleepless night.
September 30, 2016
When SEC and State Advisor Regulation CollideSection 222(d) of the Advisers Act cleared up those de minimis conflicts between federal and state regulation, right? Not exactly, Chris Stanley says.
September 29, 2016
California Suspends ‘Business Relationships’ With Wells FargoCalifornia is the largest municipal-bond issuer in the U.S. and has $75 billion in investments.