State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
'Be Wary of Bond Ratings': NASAA
By Bernice NapachAn advisory from the state regulators' group explains why bond ratings may still be inflated years after the financial crisis.
November 26, 2019
Wash. State Continues Public LTCI Effort, in Spite of Ballot Measure ResultsThe state's voters rejected the idea of paying a tax on wages to fund the program.
November 26, 2019
SALT Cap Ruling Challenged on Appeal by 4 Eastern StatesNew York, Connecticut, Maryland and New Jersey will take their challenge to the federal appeals court in Manhattan.
November 25, 2019
Top 2020 Compliance List? Reg BI, Secure Act, New Ad RuleAs the year-end approaches, industry participants discuss chances for the Secure Act's passage and how likely it is that Reg BI's compliance date will stick.
November 18, 2019
SEC Reg BI Will 'Force Changes' in Revenue Sharing: MorningstarUnder Reg BI, brokers have an obligation to mitigate and disclose the kinds of conflicts that revenue sharing can create.
November 13, 2019
Top 10 Best States to Start a BusinessThis ranking includes factors like business survival rates and the cost of labor.
November 07, 2019
10 Worst States for Medicare Advantage Sticker ShockIn some states, Medicare Advantage premiums may be comparable to worker contributions for health coverage.
October 31, 2019
Lawsuits Against SEC's Reg BI Will Fail, Attorneys SayDrinker Biddle attorneys tell broker-dealers to move ahead in their compliance.