State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Trump Says He's 'Open' to Changing SALT Cap
By Lynnley BrowningBut Senate Finance Committee Chairman Charles Grassley (R-Iowa) opposes the idea, which essentially nixes any change soon.
January 29, 2019
FSI Is Optimistic It Can Work With New CongressLeaders of the advocacy group are also focused on state regulatory action and health care coverage for members.
January 25, 2019
Investors Didn't Rush to Safety During Volatile December: State StreetState Street analyzed fixed income flow data to capture behavioral trends across tens of thousands of bond portfolios in a new report.
January 24, 2019
Nevada's 'Expansive' Fiduciary Plan Shocks BDs, RIAsWhat's the biggest difference between Nevada's plan and Reg BI? Nevada's plan includes a private right of action, says Drinker Biddle's Reish.
January 14, 2019
DOL Rollover Guidance Expected After SEC Releases Reg BILabor will need to clarify what constitutes fiduciary advice and when brokers need exemptive relief, Stradley lawyers write.
January 06, 2019
Linda Lacewell Could Oversee New York State's Sales StandardsLacewell is on track to succeed Maria Vullo as the Empire State's new financial services superintendent.
January 03, 2019
10 States Hit Hardest by the Government ShutdownWalletHub compared the 50 states and the District of Columbia across five key metrics.
December 21, 2018
UBS Agrees to $68M Libor SettlementTo date, states have recovered some $488 million from settlements tied to issues with manipulation of the London Interbank Offered Rate.