State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
New Cybersecurity Laws Provide Direction, and Hurdles, for Advisors
By Andrea McGrewStates are developing their own cybersecurity regulations. Here's what advisory firms should know.
May 08, 2018
Tech Gurus Discuss the Future of FintechZestFinance's Merrill, BofA's Bessant, Betterment's Ziemer discuss fintech policy at the recent Financial Services Roundtable FinTech Ideas Festival.
May 07, 2018
NASAA Releases Snapshot of State Advisor Landscape, Including Top Exam InfractionsAt public policy event, NASAA President Joe Borg shares his views on cyber, cryptocurrencies, fintech and other hot topics.
May 02, 2018
States Fine LPL $26M Over Unregistered Securities SalesThe IBD must repurchase some unregistered, nonexempt securities sold to clients over the past 12 years, plus interest.
May 01, 2018
5 States Where Individual Major Medical Enrollment Was SadTypical statewide average monthly premiums rose 21%. In one state, they rose 99%.
April 30, 2018
DOL Rule Rehearing Is 'Unjustifiable': Eugene ScaliaThe lawyer who fought to vacate the rule says requests like those filed by the AARP and three states have a low success rate.
April 19, 2018
Collapse of Pension Funds Isn't a Distant ProspectFund assets at some funds are too low for good returns to help much.
April 16, 2018
10 States Whose Residents Pay the Least Federal TaxesResidents in the bottom-ranking state pay just over $3,000 per adult, MoneyRates.com reports.