State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Barred Broker Charged in Alleged $1.24M Ponzi Scheme
By Dinah Wisenberg BrinMarat Likhtenstein, who was fired from Osaic in 2024, now faces grand larceny charges.
March 17, 2025
IRA Contributions Are Surging, but Not for AllInputs are up a little for lower-income workers and a lot for those younger than 40.
March 11, 2025
State Regulators Might Make Annuity Issuers' Risk Scores SecretA life insurer and a trade group are trying to keep risk-based capital ratios public.
March 10, 2025
Ex-Banker Accused of Killing BofA Exec Faces Added ChargesThe "special allegation" charges mean Anthony Duwayne Turner could face the death penalty if convicted.
February 27, 2025
Florida’s DeSantis Pushes Unusual Plan to Abolish Property TaxesThe proposal would require a constitutional amendment and overhauls of both state and local government budgets.
February 26, 2025
Two Former UBS Advisors Say Firm Broke Wage LawsThe ex-advisors seek a class action, alleging UBS failed to reimburse expenses and took unlawful wage deductions.
February 10, 2025
Texas Advisor and Radio Host Faces New Charges in Federal Fraud ProbeA judge released Brooklynn Chandler Willy on a $40,000 bond days after the charges were filed.
February 05, 2025
Annuity Regulators Should Look Harder at Cayman Islands, CEO of Athene's Parent SaysAthene rivals are hollowing out capital by moving business through entities based there, Apollo CEO Marc Rowan contends.