State Regulation

Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.

Trump Commutes Sentence of GPB Capital Founder

December 01, 2025

Trump Commutes Sentence of GPB Capital Founder
10 of the Worst Financial Scams of the Past Century

November 26, 2025

10 of the Worst Financial Scams of the Past Century
Advisor Pleads Guilty to Conning Venezuelans, Others in $94M Scheme

November 24, 2025

Advisor Pleads Guilty to Conning Venezuelans, Others in $94M Scheme
Barred Advisor Gets 3-Year Sentence for Bilking Friends, Relatives Out of $3M

November 19, 2025

Barred Advisor Gets 3-Year Sentence for Bilking Friends, Relatives Out of $3M
10 States With the Biggest Hikes in ACA Premiums

November 06, 2025

10 States With the Biggest Hikes in ACA Premiums
Female Supervisor Sexually Harassed JPMorgan Chase VP, Lawsuit Claims

October 31, 2025

Female Supervisor Sexually Harassed JPMorgan Chase VP, Lawsuit Claims
Debate: Are State Auto-IRAs Good for Savers?

October 24, 2025

Debate: Are State Auto-IRAs Good for Savers?