State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
NASAA Lowers Passing Score for Series 65 Exam
By Melanie WaddellContent of the Series 63, 65 and 66 exams will also be updated; the changes take effect in June.
March 12, 2023
U.S. Rushes to Avert Crisis With SVB Deposit Guarantee, Bank FundFederal authorities moved to address concerns Sunday, when Signature Bank was closed by state regulators.
March 08, 2023
SEC Exams Can't Keep Up With RIA GrowthAs with Dodd-Frank, Congress will have to take action to help increase RIA exam frequency, says Michael Canning.
March 07, 2023
7 Long-Term Care Program Ideas for Taxphobic TimesMinnesota asked experts about one LTC proposal and sparked brainstorming.
February 24, 2023
Ex-Advisor Who Tried to Flee Prosecution Sentenced to 9 YearsSteven Xigoros of Massachusetts defrauded clients of more than $4.3 million and failed to pay taxes, prosecutors said.
February 24, 2023
House Could Vote on Online Notarization Bill MondayA California notary group says the bill could lead to more fraud.
February 22, 2023
SEC Calls for Proceedings Against Imprisoned Ex-BrokerThe former broker was convicted of defrauding the oldest Black-owned insurance company in the U.S.
February 14, 2023
Next Hearing Set for LPL Network Firm Employee Charged in Double MurderThe next hearing for Ramy Fahim has been scheduled for June 2.