State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
SEC Highlights Top Advisor Ad Violations
By Melanie WaddellOCIE risk alert details advisors' failures to comply with Rule 206(4)-1, also known as the Advertising Rule.
September 07, 2017
Illinois Officials Prod Rauner to Sell Bonds to Cut Unpaid BillsThe pile of bills left over from a budget impasse includes many bills from health care providers.
August 31, 2017
Top 10 Most Recession-Proof States in the USSmall-business owners in these states stand the best chance of success in the next downturn.
August 30, 2017
Grantham: ‘Tremendous’ Investing Opportunities in Climate ChangeGMO's Lucas White and Jeremy Grantham write that investors focused on clean energy and climate change mitigation could reap "heroic returns."
August 29, 2017
New York State Insurers Face New Cybersecurity RegsSome say the new rules mostly duplicate existing requirements.
August 21, 2017
Senior Financial Fraud Is on the Rise: NASAAThree in 10 state securities regulators have seen an increase in cases or complaints involving senior financial fraud or exploitation.
August 18, 2017
Regulatory Considerations When Bringing On a New AdvisorThere are many legal and compliance considerations to keep in mind when adding an advisor to your firm.
August 02, 2017
Trump Efforts to Kill ACA Elicit Court Actions, InvestigationsThree separate actions challenge the administrations efforts around health care reform.