State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Top 10 Least Tax-Friendly States in US: 2018
By Marlene SatterFrom property to inheritance to booze, there's no shortage of opportunities for states to levy taxes, Kiplinger reports.
October 15, 2018
NASAA Warns of Marijuana-Related Crowdfunding ScamsCrowdfunding capital-raising model used to persuade potential investors to fund a marijuana business can be risky due to capitalization issues, NASAA warns
October 15, 2018
SEC Does Not 'Dictate' Cyber Controls, Cyber Chief SaysThe SEC is more focused on preparedness, cyber chief Robert Cohen said at a NASAA Cybersecurity Roundtable.
October 12, 2018
Bill to Ease Fed Oversight of Insurers Owning Banks Could Get Lame-Duck ReviewState Insurance Regulation Preservation Act will address "redundancy and inefficiency," said TIAA's Hodas.
October 12, 2018
State Enforcement Actions Spark Jump in Jail TimeState securities regulators brought enforcement actions last year resulting in 1,985 years of prison time and probation, a 47% increase over the prior year.
October 05, 2018
'Heightened Supervision' Plans Are a Must for BDs: NASAAIn coordinated exams, state securities regulators found that 90% of examined firms with a registered reps on a heightened supervision plan reported no complaints against that rep.
October 01, 2018
Cars, Cows and a Crisis Averted: Highlights of New Nafta DealA look at how different sectors are likely to be affected by the latest trade accord.
September 27, 2018
New Jersey Plans Fiduciary Rule for Broker-DealersState officials say the SEC's best-interest proposal is not strong enough.