State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
On Today's Ballots: 5 Commissioner Races and a Public LTC Program
By Allison BellOne insurance commissioner race involves a man who is believed to be the tallest elected official on Earth.
October 24, 2024
State Regulators Find Fraud on the Rise in Digital Assets, Social MediaPublic tips and investor complaints are also rising, according to NASAA.
October 22, 2024
How Medicare Advantage Cuts Have Hurt the 2025 Plan MarketTrade groups have analyzed new CMS data to measure the toll of rising care costs and policy changes.
October 18, 2024
Fidelity, Russell and SEI Quizzed by DOJ as Ken Leech Probe Ramps UpMoney managers that used Western Asset Management to help invest their bond portfolios are being questioned by authorities.
October 16, 2024
State Tax Ballot Measures to Watch in NovemberTax questions on income, property, capital gains and more are up for votes on Election Day.
October 15, 2024
U.S. Needs Bermuda to Boost Annuity Supply, Regulators SayConference speakers emphasized the big capital hole left by years of low interest rates.
October 10, 2024
TD Fined $3.1B, Hit With Asset Cap Over Money LaunderingThe news follow Toronto-Dominion Bank's guilty plea over its failure to prevent money laundering by drug cartels and other criminals.
October 07, 2024
Stifel Must Pay Clients Over $14M in Structured Notes Case: FINRA PanelThe award includes $9 million in punitive damages.