State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
January 22, 2025
This Ohio Regulator Will Help Shape How U.S. Annuity Sales Rules Really WorkJudith French is in charge of the suitability rule update meant to mesh with the SEC's Regulation Best Interest.
January 08, 2025
Edward Jones to Pay $17M Over Front-Load CommissionsThe firm charged some clients when moving A shares from brokerage to advisory accounts, 14 state regulators found.
January 03, 2025
New York State Bill Could Double Annuity Income Tax Exemption for Older ResidentsThe proposed increase would apply to taxpayers 59 1⁄2 and older.
December 26, 2024
Washington State’s Wealth Tax Debate Is Heating UpOpinions are divided over Gov. Jay Inslee's proposal, with critics including entrepreneur Nick Hanauer.
December 13, 2024
San Antonio Advisor and Radio Host Charged With Obstructing FBI ProbeBrooklynn Chandler Willy was arrested and jailed on allegations she produced false documents in response to a subpoena.
December 11, 2024
Former Agent Charged With $900K Long-Term Care Insurance Fraud in CaliforniaThe woman and her father collected benefits, but surveillance showed they could get by on their own, prosecutors say.
December 10, 2024
LPL Network Firm Worker Pleads Not Guilty to Double MurderRamy Fahim is charged with killing a co-worker and the co-worker's roommate.
November 27, 2024
BlackRock, Vanguard and State Street Sued by 11 StatesTexas and other states allege the asset managers broke antitrust laws by boosting electricity prices through their investments.
November 20, 2024
Kentucky Advisor Accused of Bilking 73-Year-Old ClientDaniel Deno, a bank advisor registered with LPL, was jailed and charged with theft and fraud.
November 06, 2024
5 Ways Trump's Election Could Affect Life and Annuity PlayersThe climate for rollover sales standards and federal estate taxes will change.