State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
NASAA Seeks More CE Course Feedback, Adopts Whistleblower Act
By Melanie WaddellNASAA hopes to present the proposed model CE rule to state securities regulators for a vote later this fall.
August 13, 2020
DOL Gives Guidance on Trump's Unemployment Benefits OrderSen. Ron Wyden, D-Ore., argued Thursday that Labor's new guidance "leaves many unanswered questions."
August 07, 2020
Drop in U.S. Jobless Claims Offers Hope for Battered EconomyAll states but Rhode Island, which showed little change, posted declines from the prior week.
August 03, 2020
What's Next in Reg BI Compliance?Look for the SEC to release frequently asked questions guidance by year-end, attorney Valerie Mirko says.
July 27, 2020
GOP's Relief Bill Won't Be Enough to Prevent Double-Dip Recession: ZandiThe chief economist at Moody's Analytics weighs in on the next expected Republican aid package.
July 24, 2020
Democrats' Platform Signals Likely End of Reg BIIf Biden is elected, the party intends to take "immediate action" against rules it says let advisors put their interests ahead of clients.
July 22, 2020
GOP Floats Federal Jobless Benefits Extension, With a Major Cut: ReportRepublicans are considering federal payments of $100 per week, according to CNBC.
July 21, 2020
States Sue Over Trump Administration ACA Discrimination ChangesOne of the states' concern is that investigating discrimination complaints at the state level is expensive.