State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
NASAA Adopts Rule on CE Credits for Investment Advisors
By Melanie WaddellThe group's model rule requires IARs to take 12 hours of continuing education each year.
November 19, 2020
Kamala Harris' Former Policy Chief Gives Peek Into New White House PrioritiesDaniel Suvor, who worked with Harris in California, discusses what he expects to see on the next White House's to-do list.
November 10, 2020
50 States of New Data for the Third Wave of COVID-19Mortality is looking a little worse in much of the country, and a lot worse in Wyoming.
November 09, 2020
SEC Alert Flags 'Multi-Branch' RisksExaminers observed that the branch office model "may pose certain risk factors."
November 07, 2020
Biden Wins U.S. Presidency After Bitter Contest With TrumpIf Republicans hold the Senate, Biden's plans for tax hikes on the wealthy and corporations could be stymied.
November 06, 2020
Remote Workers May Get a Surprise at Tax Time: AICPASeven in 10 workers are unaware that working remotely in other states can affect the amount of state taxes owed, the CPA group found.
November 03, 2020
2020 Election Predictions: Carville, Valliere, Friedman Weigh InWill the election outcome come quickly or drag on? What about the Senate and House races? Which states are still up for grabs?
November 02, 2020
Yes, We Could Get Some Certainty on Election NightTwo key swing states could report the bulk of their vote counts, and if Trump loses them, it's likely over, BNY Mellon's deputy CIO says.