State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
On the Way: Stimulus Checks, Fourth Aid Package
By Melanie WaddellSome paper checks may not reach recipients until mid-August.
March 13, 2020
GMO's Grantham Sees a Silver Lining in Coronavirus CrisisThe legendary investor tells ThinkAdvisor how global trade, consumer behavior and the climate could ultimately benefit.
March 13, 2020
Trump Declares National Emergency Over Coronavirus; Markets ReboundThe declaration will "open up access to up to $50 billion"; the House says it will vote today on an aid bill.
February 21, 2020
Massachusetts Finalizes Fiduciary Rule; Consumer Group 'Disappointed' With ChangesThe rule, set to take effect in March, has been watered down from its original version, Barbara Roper says.
February 21, 2020
What Every RIA Should Know About the Shifting Regulatory LandscapePart of putting clients first may be knowing what will happen to them if you get hit by a bus.
February 14, 2020
California Commissioner Discusses His Vote for the Suitability ModelRicardo Lara says he would still like to see producers have a fiduciary duty to put consumers' interests first.
February 13, 2020
Full NAIC Adopts Annuity Suitability Model UpdateNew York's superintendent voted against it
February 13, 2020
NASAA Proposes CE Requirement for Investment Advisor RepsThe state regulators would require 12 hours of training a year for IARs.