State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
10 of the happiest states in America
By Lynette GilGood news for advisors: Where there is financial security, there is greater happiness.
February 23, 2016
Global Investor Confidence Mixed After ‘Interesting’ February: State StreetEuropeans' confidence dropped sharply while North American and Asian investors were actually more optimistic this month, State Street said.
February 19, 2016
California pension fix leads to risk as market volatility soarsBefore legislators acted, the California State Teachers Retirement System (CalSTRS) was facing a $74 billion shortfall.
February 15, 2016
10 worst states for retirees in 2016Whether because of the crime rate, the air and water quality, or taxes, your clients might want to look elsewhere before deciding on one of these 10 locations for retirement.
February 12, 2016
South Carolina focus group praises Cruz but sees Trump winOne voter praised Cruz for getting on the Senate floor and fighting PPACA.
February 05, 2016
5 of the top regulatory hurdles facing insurers in 2016The FSOC warns that life insurers' captive reinsurers pose a systemic threat to the stability of the U.S. economy."
February 05, 2016
5 of the top regulatory hurdles facing insurers in 2016The FSOC warns that life insurers' captive reinsurers pose a systemic threat to the stability of the U.S. economy."
February 01, 2016
NASAA Adopts Model Rule to Fight Senior Financial AbuseThe model rule, should states choose to adopt it, would allow BDs or advisors to delay disbursements when they suspect financial exploitation.