State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
'Taxachusetts' Revived in New England After Millionaire Surtax
By Christopher AnsteyMassachusetts voted in favor of imposing a 4% surtax on taxable incomes over $1 million after a closely fought campaign.
January 05, 2023
California to Reality-Check $144K Public Long-Term Care Benefits PackageThe proposed LTC program could pay for care both inside and outside Of the state.
January 05, 2023
Symetra and Mutual of America Add Annuity AffiliatesOne insurer started a company in Bermuda. Another made a deal in Texas.
December 30, 2022
FINRA Fines, Suspends Ex-Securities America Rep Who Impersonated Dead ClientThe ex-broker pretended to be her deceased relative, a firm client, in a phone call, FINRA says.
December 29, 2022
Republicans Ramp Up Anti-ESG Campaign for 2023The political assault by the right is backed by former Vice President Mike Pence, as well as by the governors of Florida and Texas.
December 21, 2022
Will Your Client's Medicaid Trust Survive the Move to Florida?Strategies for preserving the family home must comply with state-specific laws if the client plans to move.
December 20, 2022
NAIC Task Force Adopts Index-Linked Variable Annuity GuidelinesThe industry may finally adopt a standard name for this variable-annuity product.
December 16, 2022
Insurtech Regs, 'Dark Pattern' Spottting on NAIC's To-Do ListConsumer reps also want to make information about claim denial rates easier to find.