State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
State Street Adds Another Fearless Girl Statue in London
By Emily ZulzTwo years after Fearless Girl's debut, State Street touts its success in pushing companies to add female directors.
February 22, 2019
Nevada Fiduciary Plan Has DOL Rule SimilaritiesThe state fiduciary plans are worrisome, former Labor official Phyllis Borzi tells ThinkAdvisor.
February 21, 2019
CFTC Compliance Branch Releases Its First-Ever Exam Priorities ListHere's what advisors and BDs registered as CTAs or commodity pool operators should prepare for.
February 19, 2019
10 Riskiest States for SeniorsSurprisingly, the top state on this list is a hot spot for retirees.
February 13, 2019
Top 10 Safest States for SeniorsTheSeniorList.com ranked states on risks to seniors like fraud, living alone and violent-injury deaths.
February 11, 2019
Maryland's 'Sweeping' Fiduciary Bill Puts Advisors Under More Stringent StandardMaryland's 2019 bill is also "very broad as applied to insurance producers," states Stradley Ronon attorney William Mandia.
February 08, 2019
Maryland Introduces Fiduciary Rule as Part of a Broader Consumer BillMaryland is one of a growing number of states to consider fiduciary rules for broker-dealers and other financial agents.
February 07, 2019
Trump Says He's 'Open' to Changing SALT CapBut Senate Finance Committee Chairman Charles Grassley (R-Iowa) opposes the idea, which essentially nixes any change soon.