State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
8 Tips for Advisors to Avoid Digital Asset Legal, Compliance Headaches
By Jeff BermanAdvisors must make sure they follow their firms' policies and procedures, as well as legal compliance requirements, attorney Max Schatzow says.
September 27, 2021
New York State to Get a New Top Insurance RegulatorMeanwhile, the American Academy of Actuaries has a new executive director.
September 23, 2021
Consumers Use Up Washington State's Private LTCI CapacityInsurers have responded to a flood of applications by refusing to take more applications.
September 22, 2021
Self-Directed IRA Scams Are on the Rise, State Securities Regulators WarnLawmakers will join NASAA to examine policy solutions around self-directed IRAs.
September 21, 2021
State-Registered Advisors Lack Policies to Protect Seniors: NASAA ReportAdvisors "must make improvements in recognizing and reporting cases of suspected abuse," said Lisa Hopkins, NASAA president.
September 20, 2021
New Jersey Orders Second Firm to Stop Selling Crypto ProductsCelsius Network's accounts, in which customers deposit cryptocurrencies and are paid interest, are unregistered securities, the state says.
September 16, 2021
MassMutual to Pay $4M Fine Over 'Roaring Kitty' Posts"It's clear that MassMutual was not as diligent as it should have been in supervising its employees," Galvin said.
September 09, 2021
Taxpayer-Friendly Trust Laws Are Florida's Latest AttractionUnder the new Uniform Directed Trust Act and Community Property Trust Act, Florida is even more hospitable to directed trusts or community property trusts.