State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Regulators Start Talks About Life and Annuity Wholesaler-Pay Disclosure Rules
By Allison BellThe existing framework already covers this information, an Insured Retirement Institute executive told state regulators.
June 11, 2026
LPL, PGA Announce PartnershipThe collaboration, the broker-dealer's first with a sports entity, will debut in 2027.
June 11, 2026
FINNY Launches Enterprise PlatformPresident Victoria Toli said the firm went live with Mercer Global Advisors, the inaugural flagship user, in January.
June 10, 2026
Hightower Expands Family OfficeAimed at serving UHNW clients, the enhanced offering builds on relationships with NEPC and the family office firm GTBA.
June 09, 2026
Inmate Who Siphoned $11M From Schwab Account Has Escaped: FBIArthur Lee Cofield had been convicted of stealing a wealthy Schwab client's identity while in prison.
June 09, 2026
America's 10 Best Restaurants: 2026This year's list was compiled from the votes of a 300-member academy of regional restaurant industry experts.
June 08, 2026
Third of Gen Xers, Half of Millennials Rely on Parents Financially: StudyAdvisors agree that it's a common situation across the income spectrum.
June 08, 2026
LPL Faces Suit Over Clients' PHL Life and Annuity HoldingsThe plaintiffs say LPL advisors "intentionally left them in the dark" about the issuer's finances.