State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Deep South, Midwest Seen as Key to Cutting U.S. Smoking Rate
By Jennifer KaplanTwelve states form what looks like a Tobacco Nation.
September 21, 2017
The NIPR Has Your NumberA producer licensing expert looks at an entity that affects just about every move you make.
September 21, 2017
Ex-Sen. Al D’Amato Named Adviser to Marijuana Lobbying GroupNew York state expects to offer residents chewable marijuana.
September 21, 2017
State Fiduciary Rules Create a Regulatory ‘Mess’Advisors dont know what their obligations are under state law or what to do if they conflict with federal regulations, an attorney says.
September 20, 2017
10 States Where the Millennials Are More Obese Than the SeniorsHigh levels of weight problems at young ages could lead to underwriting, and claim, nightmares.
September 15, 2017
Drug Coverage Plans Battle in State Capitals Over Price SecretsThe PBMs say increased disclosure would weaken their efforts to hold down costs.
September 14, 2017
SEC Highlights Top Advisor Ad ViolationsOCIE risk alert details advisors' failures to comply with Rule 206(4)-1, also known as the Advertising Rule.
September 11, 2017
Equifax Hack Teaches Hard Lessons for FirmsThe credit bureaus leakage and widely reported missteps in its assessment tool could proffer a cautionary tale for other organizations.