State Regulation

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

Florida's DeSantis Swings Back at ESG With New Law

May 04, 2023

Florida's DeSantis Swings Back at ESG With New Law
Merrill to Pay $1.4M Over Cold Calling

May 04, 2023

Merrill to Pay $1.4M Over Cold Calling
NAIFA to Move Headquarters

May 04, 2023

NAIFA to Move Headquarters
Get Ahead of the California AB 567 Long-Term Care Curve

May 04, 2023

Get Ahead of the California AB 567 Long-Term Care Curve
$20M Securities Scam Targeted Church Members, DOJ, SEC Say

May 03, 2023

$20M Securities Scam Targeted Church Members, DOJ, SEC Say
Senate Notarization Bill Could Simplify Digital Business

May 01, 2023

Senate Notarization Bill Could Simplify Digital Business
Stifel Fined $2.5M Over Broker's Shady Trades for Seniors, Church

May 01, 2023

Stifel Fined $2.5M Over Broker's Shady Trades for Seniors, Church