State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Client Testimonials: Get the Benefits Without Breaking the Rules
By Dan CuprillYou can't use client testimonials outright. But there are other ways to use your current clients' stories to connect with prospects.
November 09, 2017
17 Hottest States for Jobs as a Financial AdvisorAccording to the Bureau of Labor Statistics, these states show surging job growth for financial advisors through 2024.
November 08, 2017
Republicans Get Dragged by Unpopular TrumpHere's one columnist's ideas about what Tuesday's results mean.
October 31, 2017
Mylan's President Targeted in Generic Drug Pricing ProbeThe executive is emphatically denying the allegations.
October 30, 2017
Take Three: Borg's Back as NASAA ChiefLongtime Alabama Securities Commission Director Joe Borg is back as president of NASAA his third time filling the seat.
October 26, 2017
Connecticut Lawmakers Approve Budget That Rescues HartfordAetna and Hartford Financial are two of the companies offering to help the city.
October 19, 2017
‘Fearless Girl’ Was Never a ‘Statement of Accomplishment’: State StreetBrie Williams of State Street, which commissioned the statue, discusses her firm's commitment to gender pay equity in the wake of a $5 million lawsuit.
October 09, 2017
California Drug Price Bill Becomes Law as Legal Fight LoomsThe Golden State wants manufacturers to give health plans warnings about big price increases.