State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
NASAA Wants to Align REIT Policy With Reg BI
By Melanie WaddellThe policy, which includes conduct standards for brokers selling non-traded REITs, hasn't been updated since 2007.
July 19, 2022
California State Lawmaker Tries to Keep Insurance Legislators TalkingNCOIL President Ken Cooley could influence how the Golden State addresses long-term care financing.
July 18, 2022
State Lawmakers Question Insurer Life Policy Buyout OffersAt a national meeting, lawmakers also talked about resisting federal encroachment.
July 15, 2022
Some State Lawmakers Troubled by Private Equity's Growing Life & Annuity StakeSome legislators worry private equity fund deals might be moving blocks of business from strong insurers to less-credible insurers.
July 14, 2022
Ex-Broker Charged With Murdering BofA Exec Wins Right to See Police FilesAnthony Duwayne Turner, charged with killing his ex-girlfriend Michelle Avan, can examine files for evidence of police misconduct.
July 12, 2022
Barred Broker Sentenced to Prison for $12M Ponzi SchemeMatthew Eckstein will get up to 10.5 years in prison for his role in bilking more than 50 investors, the prosecutor said.
July 06, 2022
Vanguard to Pay $6.25M Over TDF Tax Bills in MassachusettsA massive cut to investment minimums for institutional shares left small investors with a huge tax liability.
July 06, 2022
Barred Broker Who Did Merrill Stint Indicted in $100M Crypto ScamJoshua David Nicholas and two other defendants were charged with conspiracy to commit wire fraud and securities fraud.