State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Alaska to expand Medicaid
By Dan CookThe 49th state becomes the 30th to accept Medicaid expansion under PPACA.
July 15, 2015
NAIC highlights consumer complaintsAn NAIC report provides unique insight on consumer complaints, and which states are most aggressive at reprimanding producers.
July 14, 2015
Galvin Fines LPL $250K Over False Senior Designation TitlesSince mid-'07, LPL did not establish, maintain, or enforce a procedure to review senior-specific titles for compliance in Massachusetts.
July 07, 2015
Disgruntled Investors Are a Big Crowdfunding RiskWhen the SEC adopted Regulation A+ in March, the new rules exposed companies that raise capital through crowdfunding to new risks.
July 06, 2015
4 burning questions about medical marijuanaLegalized use of marijuana in some states creates complex employment issues for employers.
July 06, 2015
4 burning questions about medical marijuanaLegalized use of marijuana in some states creates complex employment issues for employers.
July 01, 2015
Test your elder fraud IQYour clients may be smart, risk-averse, tech-savvy ... and they may still be at risk.
June 29, 2015
Does Gay Marriage Ruling End a Financial Planning Niche?The workarounds that advisors in many states created to provide same-sex couples with legal benefits now must be unwound.