State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
State Bank Regulators Announce Plan to Update Tech Platform
By Danielle AndrusRedesigned platform will streamline licensing and supervision for financial institutions.
August 30, 2017
Grantham: ‘Tremendous’ Investing Opportunities in Climate ChangeGMO's Lucas White and Jeremy Grantham write that investors focused on clean energy and climate change mitigation could reap "heroic returns."
August 29, 2017
New York State Insurers Face New Cybersecurity RegsSome say the new rules mostly duplicate existing requirements.
August 21, 2017
Senior Financial Fraud Is on the Rise: NASAAThree in 10 state securities regulators have seen an increase in cases or complaints involving senior financial fraud or exploitation.
August 18, 2017
Regulatory Considerations When Bringing On a New AdvisorThere are many legal and compliance considerations to keep in mind when adding an advisor to your firm.
August 02, 2017
Trump Efforts to Kill ACA Elicit Court Actions, InvestigationsThree separate actions challenge the administrations efforts around health care reform.
July 27, 2017
Wells Fargo Data Breach Was Blunder by LawyerA massive Wells Fargo customer data breach was not the work of a hacker, but of the bank's own lawyer.
July 07, 2017
Illinois Ends Impasse, Easing Imminent Risk of Cut to JunkThe deal leaves the state with a $160 billion pension plan funding shortfall.