State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Actions against BD agents, unlicensed individuals jumped in ’13: NASAA
By Melanie WaddellWhile actions against BD firms decreased, actions against licensed advisor reps jumped.
October 21, 2014
The 10 best states for advisorsFinancial hubs as well as states with large populations of high-net-worth individuals attract advisors.
October 20, 2014
10 States With Most Advisors HeadquarteredMost investment advisory firms main offices are concentrated in relatively few states, with distribution likely driven by access to financial markets, population and net worth.
October 17, 2014
After DOMA, Financial Planning Still a Challenge for Same-Sex CouplesMore and more states have struck down gay marriage bans, but uniformity in benefits is still a long way off.
October 17, 2014
LTCI Watch: AwarenessLet the toughest state regulator come up with rules everyone can live with.
October 07, 2014
20 Best & Worst States for Pension FundingData from S&P shows the health of public retirement funds.
September 30, 2014
Prison Time for Securities Lawbreakers Jumps 33%: NASAAThe increase in jail time reflects the increasing complexity and heinousness of the crimes state securities regulators investigate, NASAA says.
September 29, 2014
Water: Resourceful GrowthAmerican States Water (AWR) of San Dimas, Calif., is the parent company for Golden States Water Company and American States Utility Services. AWR is a high-quality utility with a strong balance sheet (58% common equity) and high credit ratings (S&P: A+). In 2014, AWR expects to invest $80 million-$90 million...