State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Top 10 Global Cities for the Ultra-Wealthy: 2025
By Michael S. FischerBy 2040, Altrata’s research indicates, Generation Z and millennials will comprise nearly 35% of the global rich population.
January 05, 2026
Phoenix Cos.' Variable Products Issuer Likely to Face Liquidation, Officials SayWhat life and annuity customers get may be subject to state guaranty association limits.
January 02, 2026
Ex-Merrill Broker Sentenced to Two Years in PrisonRajesh Markan was also ordered to pay $2.5 million to investors in a fake private equity fund.
December 24, 2025
Millionaire Tax Plan Marks Growing Interest in Wealth LeviesDemocrats in Washington state and beyond are exploring more taxes to address the country’s widening wealth gap.
December 23, 2025
NAIC Adopts Annuity Sales Rule Guidance UpdateThe move is part of the effort to move to a best-interest standard, from a suitability standard.
December 19, 2025
12 States With the Most Home-Based Advisory FirmsAdvisors’ personality, location, team and clients affect the efficacy of their remote work, SmartAsset says.
December 18, 2025
FAQ: Does Your Client Know These 2025 Tax Deadlines?April 15 is the cutoff for individual returns, but a number of other deadlines come sooner.
December 18, 2025
Top 10 U.S. Cities for a Long, Happy RetirementStorageCafe assesses how well cities are prepared for a wave of retirees stepping into retirement amid economic uncertainty.