State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
10 Best & Worst States for Small Businesses
By Gil WeinreichThumbtack.com asked more than 12,000 small-business owners, which include advisors, to rate issues vital to them, like the burden of compliance.
June 06, 2014
How will feds handle exchange agent concerns?CMS wants to hear about issues and report problems to the producer's state of licensure.
June 04, 2014
Condoleezza Rice at Insite: ‘America Cannot Afford to Be Tired’The former secretary of state says the U.S. must be strong and clear about its role of protecting free markets and free people.
June 04, 2014
Feds to exchange helpers: Control your robotsCMS also has thoughts on per-application assistant comp at state-based exchanges.
June 04, 2014
Feds to exchange helpers: Control your robotsCMS also has thoughts on per-application assistant comp at state-based exchanges.
June 03, 2014
Massachusetts, Illinois Surveying Advisors on CybersecurityAdvisors' responses could prompt changes in state regulations, Massachusetts securities regulator William Galvin says.