State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
State Tax Ballot Measures to Watch in November
By Michael S. FischerTax questions on income, property, capital gains and more are up for votes on Election Day.
October 07, 2024
Stifel Must Pay Clients Over $14M in Structured Notes Case: FINRA PanelThe award includes $9 million in punitive damages.
October 03, 2024
Regulators Eye Rules for 600% Long-Term Care Insurance Rate IncreasesInsurers point to block solvency. Texas is talking about fairness to policyholders.
October 01, 2024
Texas Stock Exchange Names Nasdaq, NYSE Veterans to Top JobsThe Texas Stock Exchange also hired veterans of the SEC and Schwab.
September 30, 2024
TIAA Retail Customer Data Exposed in Vendor BreachData for close to 9,000 TIAA and TIAA-CREF Life customers was exposed, the firm said.
September 26, 2024
Fired BNY Advisor Claims Age DiscriminationThe advisor says a manager made ageist remarks and dismissed him despite his consistently strong performance.
September 25, 2024
Vanguard Reaches Proposed Settlement in Target-Date Sell-Off CaseThe lawsuit alleged that the asset manager triggered a "stampede" that handed certain retail customers massive tax bills.
September 23, 2024
JPMorgan Sued Over 'Shockingly' Low Interest on Client CashThe case follows several other proposed class actions over brokerages' cash sweep programs.