State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
5 Top Threats State Securities Regulators Are Watching Now
By Melanie WaddellThese new and ongoing scams are the top threats to investors this year, the regulators say.
February 26, 2024
Advisor Accused of Taking $1.6M Faces Wire Fraud ChargeProsecutors allege that the wealth manager misappropriated client funds, using them for her real estate business.
February 23, 2024
California Legislature OKs Annuity Sales Rule UpdateApproval gives Gov. Gavin Newsom a chance to weigh in on financial services regulation.
February 21, 2024
New Ownership Reporting Rules Probably Apply to Your Small-Business ClientsOwners of existing businesses, including LLCs, must disclose ownership to FinCEN by Jan. 1.
February 16, 2024
Trump Organization Hit With $365M Fine in Fraud TrialTrump is sure to appeal, potentially dragging out a final resolution of the case well beyond the November election.
February 08, 2024
IRA Lawsuit Shows Why Advisors Must Watch for Elder Financial AbuseA woman alleges her uncle abused her late grandmother and coerced her to change beneficiary amounts.
February 08, 2024
Arraignment Set for LPL Network Firm Employee Charged With Double MurderRamy Fahim is accused of killing co-worker Griffin Cuomo and Cuomo's roommate, Jonathan Bahm.
February 05, 2024
Yes, Annuity Issuers Can FailHere are five things to think about when evaluating the companies backing the income guarantees.