State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
These 11 States Require Financial Ed to Graduate High School
By Michael S. FischerMore states are on track to follow suit, an advocacy group says.
October 20, 2023
Texas to Vote on Wealth Tax Ban in NovemberVoters will decide on a constitional amendment banning wealth taxation at the state level.
October 19, 2023
New York Life Faces Suit Over Record RequestsThe plaintiff contends that New York Life set conditions that are impossible to fulfill.
October 17, 2023
Regulators, Groups Fight Over AI Rule FitInsurers want some stretch. New York wants insurers to run specific types of statistical tests.
October 17, 2023
Clients Sue Chase Over $1M in Missing CD FundsA mother and son contend they never received mailed checks from Chase totaling nearly $1.2 million.
October 17, 2023
Stifel Named in Civil Case Against Advisor Charged With Strangling GirlfriendThe firm neglected its duty of care to the girlfriend, who was a client, according to the lawsuit.
October 12, 2023
Allianz Life Faces Annuity Owner SuitThe plaintiff says the insurer should have explained why it cut off ties to her advisor.
October 03, 2023
FINRA Fines Former LPL Rep for Faking 30 Clients' SignaturesThe regulator also suspended the former broker for four months.