State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Ex-LPL RIA Worker Pleads Guilty in Double Murder
By Dinah Wisenberg BrinA jury trial will determine if the defendant was legally sane when the victims were slain in 2022.
April 07, 2026
12 States With the Lightest Tax Burdens: 2026WalletHub's research seeks to clarify how U.S. taxpayers are affected by complex federal and state tax codes.
April 06, 2026
SEC Claims Deceased Advisor Stole $1.68M From Elderly, Sues EstateThe agency is suing the estate of John Brodacki, who died in March, to claw back funds it says he took from clients.
April 02, 2026
12 Most Livable Small and Midsize U.S. Cities: 2026In these locations, Livability.com finds, paychecks go further, commutes are shorter and quality of life comes first.
April 02, 2026
Industry Groups Back Effort to Make NAIC More OpenConsumers want free access to recordings. Industry groups want fewer closed sessions.
April 01, 2026
NAIC May Leash Wild Annuity Performance Illustrations QuicklyA working group could start with a quick patch and then develop a longer-term response.
March 31, 2026
Private Credit Foe Roasts Athene's Annual StatementConsultant Nick Nemeth has heated up a long-simmering debate about life insurers' financial reports.
March 27, 2026
Cetera Discloses Data BreachThe unauthorized access at the wealth management firm involved one employee email account.