State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
NASAA Votes to Restrict BDs' Use of 'Adviser,' 'Advisor'
By Melanie WaddellThe new model rule prohibits reps from using these titles unless they are also registered as advisors.
March 28, 2025
Robinhood Prediction-Markets Arm Gets Massachusetts SubpoenaSecretary of State Bill Galvin is looking into links to gambling for its sports-event contracts.
March 26, 2025
Hit by 777 Partners Woes, Annuity Issuer Faces Rehab PetitionUtah says Sentinel Security's investments with the private equity firm are worthless.
March 25, 2025
State Regulators to Congress: Please Kill Treasury's Insurance OfficeState regulators also want Congress to give them a voting seat on the Financial Stability Oversight Council.
March 25, 2025
Barred Broker Charged in Alleged $1.24M Ponzi SchemeMarat Likhtenstein, who was fired from Osaic in 2024, now faces grand larceny charges.
March 20, 2025
Life Advocacy Center Sues California Insurance Regulators Over Complaint DataThe state's department contends that the information requested is confidential.
March 18, 2025
Crooks Are Using Life and Annuity Products to Launder Money, Fraud Tracker SaysCriminals are learning that insurers ask fewer questions than bankers.
March 17, 2025
IRA Contributions Are Surging, but Not for AllInputs are up a little for lower-income workers and a lot for those younger than 40.