State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Protecting grandma from elder abuse
By Olivia MellanAbuse of older investors makes up at least a third of state regulators enforcement actions, NASAA says. Find out remedies to the situation.
April 10, 2015
Recession-scarred U.S. states ill-prepared for next fiscal shockGovernment rainy-day funds are half the size they were in June 2009.
April 08, 2015
BD Fees Confuse Investors: NASAAInvestors are confused and unaware of how much their brokerage firm charges to serve and maintain their investment accounts, NASAA President William Beatty said.
April 06, 2015
Docupace Leads Effort to Increase Industry STPThe firm's straight-through processing network initiative seeks to drive adoption by getting financial services firms to commit
April 02, 2015
Protecting Grandma From Elder AbuseImagine a broker driving an 83-year-old widow with Alzheimer's to local banks so that she can withdraw over $1 million from CDs.
March 31, 2015
Why tax planning for same-sex couples is still more complex than it should beThe current variety of rules that apply to a same-sex marriage is a recipe for confusion and possibly mistake among life insurance agents, financial advisors and tax professionals.
March 31, 2015
Why tax planning for same-sex couples is still more complex than it should beThe current variety of rules that apply to a same-sex marriage is a recipe for confusion and possibly mistake among life insurance agents, financial advisors and tax professionals.
March 30, 2015
5 essentials for a minimal state-based PPACA exchangeRegulators hear about options for shielding subsidy users from King vs. Burwell shrapnel.