State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Advisors beware: Securities regulators ramp up enforcement
By National Ethics AssociationFinancial 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.
November 09, 2016
Fears and hopes for a President TrumpYes, Donald Trump has been elected as the 45th president of the United States.
October 26, 2016
SEC Approves Intrastate Crowdfunding RulesFinal rules adopted Wednesday are designed to further facilitate access to capital in cross-state and regional securities offerings.
October 25, 2016
State ACA exchange rate changes vary wildly for 2017The benchmark rate will rise 116 percent in one state and fall 3 percent in another.
October 25, 2016
10 Principles for Better Fintech PolicymakingPolicymakers struggle to keep up with the rapid pace of technology innovation, and new business models are hampered by outdated regulations.
October 24, 2016
State regulation of stop loss narrows marketsBrooks Goodison explains how state regulators are changing stop-loss insurance regulation in ways that could impact partial self-insurance options.
October 21, 2016
Insurance think tank forecasts more mergers, political gridlockRelations on Capitol Hill could be especially contentious if Hillary Clinton wins the White House and the GOP retains control of Congress.
October 21, 2016
Insurance think tank forecasts more mergers, political gridlockRelations on Capitol Hill could be especially contentious if Hillary Clinton wins the White House and the GOP retains control of Congress.