State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Ex-Advisor Accused of Racism in TikTok Video Must Pay LPL Over $820K
By Dinah Wisenberg BrinEileen Cure had sued the BD for $95 million after it ended an affiliation with her.
March 11, 2026
Judge Orders SEC to Hand Over Texting Fine DataLawyer Nick Morgan called the ruling a "win for transparency and a stinging rebuke of the SEC's litigation conduct."
March 11, 2026
12 Cities Where a $100,000 Salary Buys the LeastWhen taxes and cost of living are considered, this amount doesn't go far in many places, SmartAsset finds.
March 10, 2026
NASAA Launches CE Course Catalog for IARsThe new catalog provides a centralized platform to browse NASAA-approved IAR CE courses.
March 09, 2026
12 Cities Where $400,000 Can Buy the Most Living SpaceAn openness to different locations can have a large influence on how much house buyers can afford, PropertyShark reports.
March 06, 2026
A Sliver of NYC's Wealthy Has Unusual Rallying Cry: Tax Me MoreA group that includes an ex-BlackRock managing director says rich residents can afford to pay more into city coffers.
March 06, 2026
10 Most Expensive States for Long-Term Care: 2025The median cost for one type of care fell last year, according to CareScout's survey of thousands of providers.
March 05, 2026
What Might Happen When an Annuity Issuer Fails Now?A notice aimed at Colorado Bankers Life customers shows how guaranty associations are handling one liquidation.