State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Nevada Oversteps Its Authority on Fiduciary Reg: Trade Groups
By Melanie WaddellAdvocacy groups on all sides of the fiduciary debate offered constructive criticism of the rule.
February 21, 2019
CFTC Compliance Branch Releases Its First-Ever Exam Priorities ListHere's what advisors and BDs registered as CTAs or commodity pool operators should prepare for.
February 19, 2019
10 Riskiest States for SeniorsSurprisingly, the top state on this list is a hot spot for retirees.
February 13, 2019
Top 10 Safest States for SeniorsTheSeniorList.com ranked states on risks to seniors like fraud, living alone and violent-injury deaths.
February 11, 2019
Maryland's 'Sweeping' Fiduciary Bill Puts Advisors Under More Stringent StandardMaryland's 2019 bill is also "very broad as applied to insurance producers," states Stradley Ronon attorney William Mandia.
February 08, 2019
Maryland Introduces Fiduciary Rule as Part of a Broader Consumer BillMaryland is one of a growing number of states to consider fiduciary rules for broker-dealers and other financial agents.
February 07, 2019
Trump Says He's 'Open' to Changing SALT CapBut Senate Finance Committee Chairman Charles Grassley (R-Iowa) opposes the idea, which essentially nixes any change soon.
February 05, 2019
Florida Official to Fill NAIC Vice President VacancyAltmaier has led a committee involved with a variable annuity captive reinsurance update.