State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Should Compliance Officers Be Held Personally Liable? SEC's Peirce Weighs In
By Melanie WaddellToo much liability could discourage talented people from working in compliance, the SEC commissioner says.
October 19, 2020
50 States of Data for the Third Wave of COVID-19Dynata's survey program suggests that the infection rate is rising for college-age people in many states.
October 12, 2020
XYPN Rules Out Supreme Court Challenge to Reg BIXYPN has retained industry lobbyist Duane Thompson to help push for state-level fiduciary rules.
September 29, 2020
50 States of New Summer COVID-19 Wave Death Data, Plus D.C.Our latest college and university dashboard suggests that careful schools may be getting the virus under control.
September 28, 2020
State Securities Regulators See Spike in Unregistered Advisor CasesNearly 30 jurisdictions have enacted rules or legislation based on NASAA's model rule to help prevent financial exploitation of older investors.
September 15, 2020
SEC Warns of Rise in 'Credential Stuffing' CyberattacksClient login credentials that are compromised can result in loss of customer assets and unauthorized disclosure of personal information.
September 10, 2020
Economic Rebound More Fragile With U.S. Aid on BrinkBarring additional stimulus, the U.S. recovery "will be more susceptible to downside risks," said economist Gregory Daco.
September 04, 2020
The 14 Hardest-Working States in AmericaIn honor of Labor Day, WalletHub looked at metrics like hours worked, employment rates and time spent volunteering.