State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
States Move to Tap Into Shale Deposit; Environmentalists Balk
By Gil WeinreichStates consider following Pennsylvania's lead in allowing drilling in to huge shale deposits to extract fuel.
July 01, 2011
Minnesota Government Shuts DownThe Minnesota government began shutting down on Friday after lawmakers failed on Thursday to to reach a budget agreement before a midnight deadline. It is the second time such a shutdown has occurred in six years.
June 24, 2011
Schwab’s Clark on Retail Franchise Plans, New-Model OutsourcingHead of Schwab RIA unit says he understands advisor ‘sensitivity’ to retail branch advice plan.
June 23, 2011
Top 10 Worst Tax States for RetireesYoull need the early-bird special in these expensive places.
June 21, 2011
Why House Bills on June 22 Would Weaken Investor Protection: NASAA's ConcernsHouse Financial Services Committee is scheduled to mark up two bills: one exempting private equity fund advisors from SEC registration, the other on Reg A expansion.
June 20, 2011
ASPPA Asks DOL to Delay Fiduciary Fee Disclosure Reg's ImplementationThe American Society of Pension Professionals & Actuaries and the Council of Independent Recordkeepers are asking the Department of Labor to delay the effective date for the proposed fiduciary fee disclosure regulation.
June 19, 2011
ASPPA Asks DOL to Delay Fiduciary Fee Disclosure Reg's ImplementationThe American Society of Pension Professionals & Actuaries and the Council of Independent Recordkeepers are asking the Department of Labor to delay the effective date for the proposed fiduciary fee disclosure regulation.
June 16, 2011
IIPRC Adds Alabama, NevadaThe Interstate Insurance Product Regulation Commission has signed up two more states and now represents a total of 40 jurisdictions.