State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
NAIC Sales Standard Proposal Includes Reg BI Safe Harbor: IRI
By Allison BellThe group says the safe harbor will reduce the need for financial professionals to comply with multiple sales standards.
December 02, 2019
Galvin Signs Off on Massachusetts Fiduciary RuleThe rule will now go through a formal comment period and hearing before the regulations can be promulgated, Galvin's office said.
November 26, 2019
Wash. State Continues Public LTCI Effort, in Spite of Ballot Measure ResultsThe state's voters rejected the idea of paying a tax on wages to fund the program.
November 26, 2019
SALT Cap Ruling Challenged on Appeal by 4 Eastern StatesNew York, Connecticut, Maryland and New Jersey will take their challenge to the federal appeals court in Manhattan.
November 25, 2019
Top 2020 Compliance List? Reg BI, Secure Act, New Ad RuleAs the year-end approaches, industry participants discuss chances for the Secure Act's passage and how likely it is that Reg BI's compliance date will stick.
November 18, 2019
SEC Reg BI Will 'Force Changes' in Revenue Sharing: MorningstarUnder Reg BI, brokers have an obligation to mitigate and disclose the kinds of conflicts that revenue sharing can create.
November 13, 2019
Top 10 Best States to Start a BusinessThis ranking includes factors like business survival rates and the cost of labor.
November 07, 2019
10 Worst States for Medicare Advantage Sticker ShockIn some states, Medicare Advantage premiums may be comparable to worker contributions for health coverage.