State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
5 states where older people get stuck in nursing homes
By Allison BellThe worst state may not be as bad as the previous worst state.
June 02, 2016
UnitedHealth to pull out of California PPACA marketUnitedHealth will stay on the Nevada, New York and Virginia exchanges. Harken will operate in three states.
June 02, 2016
Ex-AIG chairman Greenberg ordered to face trial in N.Y. suitHank Greenberg faces trial under the Martin Act, which gives prosecutors the power to probe investment frauds, Ponzi schemes and other forms of white-collar crime.
June 02, 2016
Ex-AIG chairman Greenberg ordered to face trial in N.Y. suitHank Greenberg faces trial under the Martin Act, which gives prosecutors the power to probe investment frauds, Ponzi schemes and other forms of white-collar crime.
May 27, 2016
Maintaining Attorney-Client Privilege During a Mock ExamConducting a mock exam will effectively act as an evidentiary roadmap for regulators when an actual examination of the advisors business is initiated.
May 17, 2016
10 states where older residents have more syphilisAn old underwriting enemy is hitting people over 40 harder than it used to.
May 12, 2016
Top 5 Things Financial Planners Need to Know About a DivorceThese five commonly asked questions can assist financial planners in understanding the divorce process and the role that finances play.
May 05, 2016
Big money pours millions into ballot initiative battlesIn Colorado, Anthem is fighting ColoradoCare, a single-payer health care proposal.