State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
ACA exchanges near major 2017 signup deadline
By Allison BellSome ACA exchanges have reported solid open enrollment period activity.
December 13, 2016
Ted Nickel elected NAIC presidentDavid Mattax of Texas has joined the regulator group's officer team.
December 13, 2016
Ted Nickel elected NAIC presidentDavid Mattax of Texas has joined the regulator group's officer team.
December 05, 2016
OCC Will Begin Issuing National Charters for Fintech FirmsThe OCC is developing a formal policy for issuing special purpose national bank charters to fintech firms that provide banking services.
December 01, 2016
Financial Industry Groups Slam New York’s Proposed Cybersecurity RulesBanking and insurance groups criticize the plan's inflexible, one-size-fits-all requirements and call the Jan. 1 effective date unworkable.
November 29, 2016
Steve Riggs now leads National Conference of Insurance LegislatorsJason Rapert is the new vice president, and Bill Botzow is the new secretary.
November 29, 2016
Steve Riggs now leads National Conference of Insurance LegislatorsJason Rapert is the new vice president, and Bill Botzow is the new secretary.
November 15, 2016
Advisors beware: Securities regulators ramp up enforcementFinancial advisors who adopt an 'it wont happen to me' posture when it comes to getting caught violating state (or federal) regulations need to watch out.