State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
RIA Growth Could Stall in 2025: Report
By Melanie WaddellWhile the number of SEC-registered advisors grew in 2024, economic and other factors could shift that trend.
May 22, 2025
Trial Date Set for Ex-Banker Charged With Killing BofA ExecAnthony Duwayne Turner's trial is set for June; a planned pretrial hearing involves a motion to dismiss the case.
May 22, 2025
Texas Bill Could Speed Up Annuity Exchanges and TransfersInsurers would have to complete many of the transactions within 30 days after receiving a request.
May 20, 2025
Judge Rejects $40M Class-Action Settlement in Vanguard Target-Date Selloff CasePlaintiffs will get a better deal under an SEC settlement, the judge found.
May 14, 2025
Retiree Sues Schwab, Hightower Over $422,000 Portfolio LossThe firms misrepresented a risky margin loan as a safe credit line and made unauthorized trades, the suit says.
May 13, 2025
Vanguard Shared Client Trades With Google and LinkedIn: LawsuitThe proposed class action involves consumers who use Vanguard's website or mobile app.
May 12, 2025
California Court OKs $80M Life Insurance Policy Lapse Notice SettlementA future state Supreme Court ruling could determine how much money other insurers will pay out.
April 22, 2025
New Jersey Becomes 50th State to Adopt Annuity Best-Interest Sales StandardSupporters managed to change the rules throughout the United States in less than five years.