State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
State COVID-19 Job Loss Ratios Vary Widely: Researcher
By Allison BellJohn McGowan says the differences may explain some of the conflict over reopening the economy.
May 11, 2020
Iowa Adopts Best-Interest Standard for Annuity SalesThe division will repropose its rule for broker-dealers later this summer.
May 05, 2020
9 Things Commenters Are Saying About Iowa's Best Interest ProposalThis proposals could shape sales standards in a major annuity-issuing jurisdiction.
April 30, 2020
State AGs Urge Court to Expedite Reg BI Oral ArgumentsThe states and XYPN want "to bring certainty for the industry" before the planned June 30 effective date, said Michael Kitces.
April 23, 2020
House to Vote in Person Today on Loan FundingLawmakers will also vote to set up a committee to monitor how the Paycheck Protection Program loans are being distributed.
April 22, 2020
McConnell Says States Should Be Allowed to Declare Bankruptcy"There's not going to be any desire on the Republican side to bail out state pensions by borrowing money," he said.
April 16, 2020
New Jersey Delays Final Fiduciary RulemakingAn executive order from the governor delayed this and other proposals in response to the COVID-19 pandemic.
April 07, 2020
How California's Privacy Act Impacts AdvisorsAdvisors doing business in the Golden State should review the many tasks needed to protect client information this year and next.