State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Start 2019 Right by Syncing Your Personnel Protocols
By Thomas D. GiachettiCompliance for advisors doesn't only mean SEC issues. Indeed, several internal factors can trip up advisors, especially with personnel.
January 24, 2019
Nevada's 'Expansive' Fiduciary Plan Shocks BDs, RIAsWhat's the biggest difference between Nevada's plan and Reg BI? Nevada's plan includes a private right of action, says Drinker Biddle's Reish.
January 14, 2019
DOL Rollover Guidance Expected After SEC Releases Reg BILabor will need to clarify what constitutes fiduciary advice and when brokers need exemptive relief, Stradley lawyers write.
January 06, 2019
Linda Lacewell Could Oversee New York State's Sales StandardsLacewell is on track to succeed Maria Vullo as the Empire State's new financial services superintendent.
January 03, 2019
10 States Hit Hardest by the Government ShutdownWalletHub compared the 50 states and the District of Columbia across five key metrics.
December 21, 2018
UBS Agrees to $68M Libor SettlementTo date, states have recovered some $488 million from settlements tied to issues with manipulation of the London Interbank Offered Rate.
December 19, 2018
Digital Assets and ICOs to Get More Clarity, Face More Rules in 2019Attorneys see more CFTC guidance on virtual currencies as commodities, and continued fiduciary pressure on advisors and brokers involved in crypto.
December 14, 2018
State Street Nearing CEO Transition, as Hooley RetiresRon O'Hanley, president and COO, will take the reins on Jan. 1 for the asset manager.