State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Former Top New York State Financial Services Regulator Starts Advisory Firm
By Dan M. ClarkShe's joined the NYU law school faculty, and she's regulator-in-residence for the Fintech Innovation Lab.
July 11, 2019
The 10th Amendment's Impact on Employee Benefits TodayMaybe, over the next few years, states will have more influence over how your world works.
June 28, 2019
LPL to Pay Fine, Repurchase Securities in New YorkThe payment is part of a $26 million nationwide agreement the IBD made a year ago with NASAA.
June 27, 2019
Stifel CEO Praises SEC Reg BI, Blasts House VoteThe new regulation is the most significant enhancement of broker rules since 1934, CEO Ron Kruszewski tells ThinkAdvisor.
June 20, 2019
New York Senate Confirms State's Financial Services RegulatorLinda Lacewell started out as a prosecutor, in Brooklyn.
June 14, 2019
Galvin Proposes Fiduciary Rule in Massachusetts"The SEC has failed to provide investors with the protections they need" through Reg BI, Galvin said.
June 14, 2019
Trade Groups Press New Jersey to Embrace SEC's Reg BI, Drop Fiduciary PlanSome groups say it would confuse investors, but consumer advocates still support the state's proposal.
June 11, 2019
Crypto Exchanges Are Facing Biggest Regulatory Hurdle YetThe multi-government Financial Action Task Force is preparing to release guidance that clarifies how participating nations should oversee digital assets.