State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Number of RIAs Sets New Record: Report
By Melanie WaddellWhile the number of RIAs grew in 2025, the regulatory environment is shifting under the SEC.
June 01, 2026
Ex-Stifel Rep Settled Complaints, Failed to Tell Firm: FINRAJennifer Basey paid a married couple more than $1,300 over stock losses and a commission charge, an order states.
June 01, 2026
12 Best State Economies: 2026The most vibrant locations, WalletHub reports, encourage growth by welcoming new businesses and investing in new technology.
May 28, 2026
New AI Business Tax Prep Platform Goes LiveCEO Blaze O'Byrne says the platform, called Byron, uses tools like the Python programming language to do the math.
May 27, 2026
Schwab Advisor Pleads Not Guilty to Assault, Weapons ChargesThe charges stem from an alleged domestic violence incident, Denver County Court records show.
May 26, 2026
LPL Financial Adds $1B Cebert WealthThe advisory firm primarily serves residents of The Villages, the central Florida retirement community.
May 26, 2026
Ex-Broker Pleads Guilty to $9.5M Ponzi SchemeEdwin Emmett Lickiss Jr., 78, admitted to defrauding investors over 26 years.
May 26, 2026
Luxury Home Prices Shot Up in These 12 CitiesLuxury buyers, Redfin reports, are typically less sensitive to mortgage-rate swings than their non-luxury counterparts.