State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Top 10 Most Recession-Proof States for 2020
By Michael S. FischerThe top states on this list have diverse economies and healthy emergency funds, according to FitSmallBusiness.
September 12, 2019
ACLI President Opposes 8-State Reg BI ChallengeSusan Neely says the SEC's new sales standards regulation will help consumers.
September 12, 2019
New York State Growls at Out-of-State Pension Risk Transfer MarketersAn official says state law prohibits unauthorized insurers from soliciting group annuity business in New York.
September 09, 2019
Cybersecurity Infractions on the Rise Among Advisors: NASAADeficiencies in almost every other category have decreased, said NASAA President Michael Pieciak.
August 22, 2019
New Hampshire Is Latest State to Enact Bill to Protect SeniorsVirginia, Arizona and Maine have also enacted similar bills this year.
August 02, 2019
New York State Implements Best-Interest Standard for Annuity SalesExpected next year: a New York state fiduciary rule for securities sales.
July 26, 2019
State Fiduciary Rules on a 'Collision Course' With Reg BI: LawyersAs the comment period on Massachusetts' fiduciary plan closed, SIFMA urged the state to let Reg BI "be fully implemented before moving forward."
July 23, 2019
Former Top New York State Financial Services Regulator Starts Advisory FirmShe's joined the NYU law school faculty, and she's regulator-in-residence for the Fintech Innovation Lab.