State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Develop Fintech Charter & Repeal Payday Lending Rule: Treasury
By David BaumannCritics say if fintech charters are issued, they should be subject to the same regulatory requirements as traditional FIs.
June 25, 2018
Galvin: Scottrade Fiduciary Case Still On Despite 5th Circuit RulingMassachusetts Securities Regulator Galvin wants the SEC "to re-draft" its Regulation Best Interest for brokers "and mandate a true fiduciary standard that investors deserve."
June 18, 2018
Top 10 States With the Worst EconomiesHigh unemployment, poverty and foreclosure rates undermine these states' performance.
June 15, 2018
Citigroup Agrees to Pay $100M to 42 States in Libor ProbeThis is the latest development in probes by governments around the globe into banks' manipulation of benchmark interest rates.
June 14, 2018
Top 10 States With the Best EconomiesWalletHub rated the states based on economic activity, economic health and innovation potential.
June 13, 2018
LPL, Massachusetts Reach Deal Tied to $26M Unregistered Securities FineOther states likely will make similar announcements regarding the return of money to investors as part of a nationwide agreement.
June 11, 2018
Scottrade's Fiduciary Infractions Violate State Law: GalvinDOL rule or no DOL rule, Scottrade violated its own policies and that's not OK under state law, Galvin's lawyers say.
May 29, 2018
State Advisor Landscape SnapshotState advisor annual report details exam infractions, new developments and types of services provided