State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Bank Behind ‘Fearless Girl’ Statue Settles Gender Pay Dispute
By Jordyn HolmanState Street will pay will pay $5 million to more than 300 women.
September 27, 2017
Alabama Securities Director Borg Steps Up as NASAA PresidentAs he starts his one-year term, Joseph Borg notes growing BD interest in the NASAA Model Fee Disclosure Schedule.
September 26, 2017
BlackRock Executive’s Kasich Donation May Cost Firm $37 MillionThe firm may be prevented from collecting fees from Ohio public worker clients because its iShares head donated to the Gov. John Kasich's presidential campaign.
September 21, 2017
The NIPR Has Your NumberA producer licensing expert looks at an entity that affects just about every move you make.
September 21, 2017
Ex-Sen. Al D’Amato Named Adviser to Marijuana Lobbying GroupNew York state expects to offer residents chewable marijuana.
September 21, 2017
State Fiduciary Rules Create a Regulatory ‘Mess’Advisors dont know what their obligations are under state law or what to do if they conflict with federal regulations, an attorney says.
September 20, 2017
10 States Where the Millennials Are More Obese Than the SeniorsHigh levels of weight problems at young ages could lead to underwriting, and claim, nightmares.
September 15, 2017
Drug Coverage Plans Battle in State Capitals Over Price SecretsThe PBMs say increased disclosure would weaken their efforts to hold down costs.