State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
XY Planning Makes RIA Compliance Package Free for Members
By Emily ZulzXYPN memberships will now include free full assistance with the initial filings for new RIA firms, as well as ongoing compliance support.
December 17, 2014
Harvard scientist lights up neurons to find brain curesAdam Cohen uses a protein to turn cells' electrical signals into flashes of light.
December 17, 2014
Harvard scientist lights up neurons to find brain curesAdam Cohen uses a protein to turn cells' electrical signals into flashes of light.
December 15, 2014
4 LTC ideas from a little to the rightPamela Villarreal has three ideas that involve houses, and one that involves insurance.
December 15, 2014
NASAA Launches Online System for Reg D FilingsElectronic Filing Depository creates an 'efficient, streamlined system for state Form D filing requirements,' says NASAA's Beatty.
December 12, 2014
Darrell Issa rides out of Congress waving a Jonathan Gruber subpoenaIt's not clear whether contracts let Gruber disclose the requested information.
December 11, 2014
Democrats love to hate ALEC, and now they want to copy itSpeakers will include Sen. Bernie Sanders and Labor Secretary Thomas Perez.
December 09, 2014
Rape cases raises questions about dementiaCapabilities can vary from day to day and from hour to hour.