State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Biden Seeks $1.9T for Relief in First Economic Plan
By Nancy Cook, Jenny Leonard and Mario ParkerCovid-19 package focuses on vaccines, includes raising the minimum wage to $15 an hour.
January 07, 2021
Alexandra Lebenthal Left Her Family Firm, and She's 'Loving It'Lebenthal, "socialite" no more, tells ThinkAdvisor how she has found her passion as an investment bank employee helping female business owners.
January 06, 2021
50 States of Latest Government COVID-19 Pandemic Intensity DataIn five states, more than 44% of the available adult ICU beds are filled with patients with COVID-19.
January 05, 2021
Arkansas Adopts NAIC Annuity Model Best Interest UpdateArkansas agents and brokers will have six months to begin complying with the new rules.
January 04, 2021
Ex-Rep Sues Morgan Stanley Over Deferred CompA broker says the firm wrongly withheld more than $500,000 from him when he left.
December 22, 2020
SEC Adopts New Ad Rule, Allows Client TestimonialsForm ADV was also amended to require advisors to provide more information on their marketing practices.
December 18, 2020
5 States With the Biggest Q3 Drops in Personal IncomePersonal income fell in every state in the quarter ended Sept. 30, according to the Commerce Department.
December 17, 2020
SEC Fines Robinhood $65M for Misleading Investors, Best Execution FailuresThe fine comes a day after Massachusetts regulators charged the brokerage over its marketing practices.