State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
'Roaring Kitty' GameStop Trades Under Investigation in Mass.
By Melanie WaddellThe investigation comes on top of a threat by E-Trade to ban the meme stock trader.
May 28, 2024
South Carolina Adopts Insurance Rules Protecting Living Organ DonorsSimilar bills pending in Congress have strong bipartisan support.
May 24, 2024
Debate: Do State Auto-IRA Programs Benefit Taxpayers?One take: These accounts are no substitute for a federal mandate for businesses to offer reirement plans.
May 22, 2024
Connecticut Puts Phoenix Life and Annuity Issuer in RehabThe move will limit the amount of cash life and annuity customers can get from sources backed by PHL's own assets.
May 22, 2024
Massachusetts Risks $1B in Lost Tax Revenue as Rich FleeThe state recently enacted a 4% surcharge on income over $1 million, which generated about $1.8 billion in revenue over nine months.
May 21, 2024
Louisiana Moves to Adopt NAIC's Annuity Suitability UpdateOne question is what adoption will mean in light of the new DOL fiduciary rule requirements.
May 20, 2024
Ex-Advisor Convicted of Swindling Couple Out of $1MJeffrey Slothower used client money to pay for a Mercedes and a country club, DOJ says.
May 02, 2024
This Overlooked Secure 2.0 Change Helps Business-Owning SpousesThe law created two important exceptions that can help owners of closely held businesses offer retirement plans.