State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Lawsuits Against SEC's Reg BI Will Fail, Attorneys Say
By Melanie WaddellDrinker Biddle attorneys tell broker-dealers to move ahead in their compliance.
September 24, 2019
Creator of NJ Fiduciary Rule Takes NASAA HelmFighting securities fraud is personal to Christopher Gerold. At NASAA's conference, he told a story.
September 12, 2019
ACLI President Opposes 8-State Reg BI ChallengeSusan Neely says the SEC's new sales standards regulation will help consumers.
September 12, 2019
New York State Growls at Out-of-State Pension Risk Transfer MarketersAn official says state law prohibits unauthorized insurers from soliciting group annuity business in New York.
September 09, 2019
Cybersecurity Infractions on the Rise Among Advisors: NASAADeficiencies in almost every other category have decreased, said NASAA President Michael Pieciak.
August 22, 2019
New Hampshire Is Latest State to Enact Bill to Protect SeniorsVirginia, Arizona and Maine have also enacted similar bills this year.
August 02, 2019
New York State Implements Best-Interest Standard for Annuity SalesExpected next year: a New York state fiduciary rule for securities sales.
July 26, 2019
State Fiduciary Rules on a 'Collision Course' With Reg BI: LawyersAs the comment period on Massachusetts' fiduciary plan closed, SIFMA urged the state to let Reg BI "be fully implemented before moving forward."