State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Ex-Advisor Convicted of Swindling Couple Out of $1M
By Dinah Wisenberg BrinJeffrey Slothower used client money to pay for a Mercedes and a country club, DOJ says.
April 30, 2024
New Arraignment Set for LPL Network Firm Worker Charged in Double SlayingThe arraignment, scheduled for May 24, follows a preliminary hearing last August for Ramy Hany Mounir Fahim.
April 26, 2024
Kansas House Votes to Override Veto of Income Tax Overhaul BillGov. Laura Kelly wants lawmakers to pass a cheaper tax legislation package.
April 16, 2024
New York Couple Sues Over Life Premium Finance Collateral CallsThe Aronsons thought $1.5 million in collateral would be enough. Then conditions changed.
April 16, 2024
Pretrial Date Nears for Ex-Broker Accused of Murdering BofA-Merrill ExecAnthony Duwayne Turner faces murder, rape and burglary charges in the 2021 killing of Michelle Avan.
April 15, 2024
Pass Rate and Turnout Grow for CFP ExamThe March 2024 test was administered to 3,683 candidates, breaking the record set a year ago.
April 11, 2024
BlackRock May Escape Texas BlacklistA key state official want to see how the asset manager can be removed from its list of "energy boycotters."
April 01, 2024
15 States With the Lowest Tax Rates: 2024U.S. households pay often drastically different amounts, and types, of state and local taxes.