State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
BD to Pay $600K Over Unapproved Messaging
By Melanie WaddellBTGI failed to reasonably supervise employees' use of unapproved communications platforms for business purposes, FINRA states.
March 24, 2026
What Clients Should Know About Buying a Second HomeWhether they're looking for a residence or an investment, there are financing, tax and estate planning issues to consider.
March 20, 2026
Ex-Advisor, Radio Host Could Face Lengthy Prison Term for FraudBrooklynn Chandler Willy of Texas just pleaded guilty to six wire fraud and four related charges in a Ponzi scheme.
March 19, 2026
NAIC to Consider Open Meetings ChangesPeter Gould, an annuity owner activist, has been asking the insurance regulator group for more access.
March 18, 2026
Should Your Client Relocate in Retirement?It's important to look at the whole picture — financial and otherwise.
March 17, 2026
Surgeon Says Morgan Stanley Mismanaged His Retirement AccountHe and his wife are seeking several million dollars in a lawsuit, alleging professional negligence and financial elder abuse.
March 13, 2026
Thrivent to Hire 600 Advisors in 2026One in three newcomers this year will likely join as a virtual advisor, the financial services firm said.
March 13, 2026
Here's How Advisors Can 'Make It Rain'One speaker at a recent industry event said clients need advisors to "solve a problem" — meaning connect "with their pain."