State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
New York Tax Preparer Sentenced in $50M Ponzi Scheme
By Dinah Wisenberg BrinMiles Burton Marshall had pleaded guilty to grand larceny, securities fraud and scheme to defraud.
June 12, 2026
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Are More Life and Annuity Issuers Set to Merge?The Corebridge-Equitable deal has other CEOs thinking about additional M&As. Here's what a deal surge could mean for advisors and for the industry.
June 11, 2026
12 States Where Advisor Income Grew the Most in 2025Of the 40 states with available data, SmartAsset reports, all but 11 saw advisors' median income increase.
June 11, 2026
LPL, PGA Announce PartnershipThe collaboration, the broker-dealer's first with a sports entity, will debut in 2027.
June 11, 2026
FINNY Launches Enterprise PlatformPresident Victoria Toli said the firm went live with Mercer Global Advisors, the inaugural flagship user, in January.
June 10, 2026
Hightower Expands Family OfficeAimed at serving UHNW clients, the enhanced offering builds on relationships with NEPC and the family office firm GTBA.
June 09, 2026
Inmate Who Siphoned $11M From Schwab Account Has Escaped: FBIArthur Lee Cofield had been convicted of stealing a wealthy Schwab client's identity while in prison.
June 09, 2026
America's 10 Best Restaurants: 2026This year's list was compiled from the votes of a 300-member academy of regional restaurant industry experts.