State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
10 States Whose Residents Pay the Most Federal Taxes
By Michael S. FischerPopulation, wealth and number of returns filed influence total taxes paid.
April 07, 2018
Employers Face More State and Local Paid Family Leave LawsOne challenge is that the leave access triggers differ from jurisdiction to jurisdiction.
April 06, 2018
Scottrade Files to Send Galvin's Fiduciary Charges to Federal CourtScottrade argues that Massachusetts is trying to enforce the fiduciary rule even though Labor has suspended enforcement.
March 22, 2018
Orion's New 'Compass' Automates RIA ComplianceProactive tools include mock audits, SEC exam data retrieval; anti-money laundering screens.
March 08, 2018
NASAA Cautions Investors Against Unicorn CompaniesAn advisory from NASAA notes that investing in unicorns is speculative and generally unavailable to retail investors.
March 08, 2018
A Radical Way to Rein In Occupational LicensingAre all those licensing requirements good, or bad? And for whom?
February 23, 2018
Global Dividends Soar to New Record In 2017: Janus HendersonGiven the robust economic backdrop, Janus Henderson expects dividend growth to continue in 2018.
February 22, 2018
Maryland Senate Panel to Hold Hearing on Fiduciary Bill ThursdayFSI is fighting to have the fiduciary provisions removed from a bill aimed at protecting financial consumers.