State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Ex-Franklin Templeton Analyst Alleges Retaliation Over Fraud Allegations
By Dinah Wisenberg BrinJordan Strah complains in a lawsuit that the firm dismissed him after he claimed his manager deceived investors.
April 24, 2026
Modern Wealth Acquires $1B Brown & Co.This is the California-based RIA's second such deal this month.
April 23, 2026
Hightower to Acquire $9.5B Bahnsen GroupThe wealth management practice is based in California and has seen over 30% annual organic growth.
April 23, 2026
LPL: Phishing Breach Led to Unauthorized TransactionsLPL said it restored affected accounts to their original financial positions.
April 23, 2026
Branch Manager Suspended at Firm Accused of Widespread ChurningA New York branch manager failed to supervise 39 reps' trading misconduct, FINRA's order states.
April 21, 2026
Number of CFP Board Exam Takers Hits All-Time HighNearly 4,440 sat for the certification test in March, the largest field ever, and two-thirds passed.
April 21, 2026
Annuity Guaranty Paper Gets State Regulators' AttentionAn NAIC journal is publishing a paper, by a team that includes David Blanchett, about what consumers don't seem to know.
April 20, 2026
SEC Asks Court to Toss Accredited Investor Rule SuitA complaint, brought in September, challenges the income and net worth thresholds in the agency's accredited investor definition.