State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Third of Gen Xers, Half of Millennials Rely on Parents Financially: Study
By Rob BurgessAdvisors agree that it's a common situation across the income spectrum.
June 08, 2026
Cetera Hit With Class-Action Suit Over Cash Sweep ProgramThe BD paid interest rates as low as 0.06% as the federal funds rate surged, the suit says.
June 04, 2026
Continental General Acquires More Lindberg Company PoliciesThe acquirer now is handling 151,000 products sold by Global Bankers affiliates.
June 04, 2026
After OBBBA, Some Wealthy Clients Have Estate Planning RegretsClients who rushed to give assets to children may be having second thoughts.
June 04, 2026
FP Alpha Launches Tax Snapshot 3.0The latest edition seeks to deliver tax return summaries and identify issues for human review.
June 03, 2026
Will Your Client Get That Tax Break? This Number Is the KeyUnlike most working clients, retirees have some control over their taxable income if they've planned properly.
June 03, 2026
Two Democrats Lead in California Insurance Commissioner PrimaryOne has focused on property insurance; the other has introduced a health broker pay bill.
June 03, 2026
Modern Wealth Acquires $1.1B Flaharty Asset ManagementStaying small is risky in today's RIA market, Modern Wealth President Jason Gordo says.