State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Fidelity Brokerage Says Former VP Took Client Info
By Dinah Wisenberg BrinAdam Ritter is misusing confidential information to solicit customers to his new firm, a lawsuit alleges.
August 04, 2025
Under Trump's New Tax Law, Here's What to Know About SALT Cap WorkaroundThe workaround, available in most states, is still highly relevant for high-income taxpayers.
July 31, 2025
Ex-LPL Rep Sentenced to 6 Years in Prison for Taking $1M from Elderly ClientInvestigators found Bradley Goodbred took over $1 million from a woman over nine years, prosecutors said.
July 30, 2025
States Could Keep Annuity Issuers From Posting Risk ScoresSome regulators maintain that risk-based capital ratios should be for their eyes only.
July 30, 2025
Are Annuity Buyers Gaming the System?Retirement researchers Michael Finke and David Blanchett find there are ways to maximize the value of state protections.
July 30, 2025
LPL Underpaid Employees, Lawsuit ClaimsAn LPL support specialist alleges the firm short-changes employees on sick pay, overtime and expense reimbursement.
July 30, 2025
NASAA Seeks to Loosen State Rules on TestimonialsUnlike the SEC's Marketing Rule, NASAA model rules explicitly prohibit testimonials, endorsements and third-party ratings.
July 29, 2025
Carson Group Says Ex-CMO Altered Evidence in LawsuitA lawyer for the former executive, Mary Kate Gulick, disputed the accusations.