State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
LTCI Watch: Pope Francis
By Allison BellHe spoke up, briefly, for elder caregivers.
September 28, 2015
Books and Records Infractions Still Big Problem for State-Registered AdvisorsOther top problem areas for state-registered advisors: contracts, registration, fees and custody.
September 28, 2015
The 10 fattest states in AmericaThere is good and bad news about the state of obesity in the United States.
September 28, 2015
The 10 fattest states in AmericaThere is good and bad news about the state of obesity in the United States.
September 23, 2015
15 U.S. cities that were hurt the most by the recessionSome cities across the United States have not recovered as quickly as others -- and they're not necessarily the cities you would expect.
September 23, 2015
NASAA: States Doled Out $579M in Enforcement Penalties in 2014Private placement offerings, real estate investments and crowdfunding were ripe areas for fraud, state securities regulators reported.
September 16, 2015
GAO: PPACA exchanges still have $703 million in federal IT grant moneyMinnesota may be the state-based exchange with the most dry powder.
September 16, 2015
GAO: PPACA exchanges still have $703 million in federal IT grant moneyMinnesota may be the state-based exchange with the most dry powder.