State Regulation

Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.

How Medicare Advantage Cuts Have Hurt the 2025 Plan Market

October 22, 2024

How Medicare Advantage Cuts Have Hurt the 2025 Plan Market
Fidelity, Russell and SEI Quizzed by DOJ as Ken Leech Probe Ramps Up

October 18, 2024

Fidelity, Russell and SEI Quizzed by DOJ as Ken Leech Probe Ramps Up
State Tax Ballot Measures to Watch in November

October 16, 2024

State Tax Ballot Measures to Watch in November
U.S. Needs Bermuda to Boost Annuity Supply, Regulators Say

October 15, 2024

U.S. Needs Bermuda to Boost Annuity Supply, Regulators Say
TD Fined $3.1B, Hit With Asset Cap Over Money Laundering

October 10, 2024

TD Fined $3.1B, Hit With Asset Cap Over Money Laundering
Stifel Must Pay Clients Over $14M in Structured Notes Case: FINRA Panel

October 07, 2024

Stifel Must Pay Clients Over $14M in Structured Notes Case: FINRA Panel
Regulators Eye Rules for 600% Long-Term Care Insurance Rate Increases

October 03, 2024

Regulators Eye Rules for 600% Long-Term Care Insurance Rate Increases
Texas Stock Exchange Names Nasdaq, NYSE Veterans to Top Jobs

October 01, 2024

Texas Stock Exchange Names Nasdaq, NYSE Veterans to Top Jobs
TIAA Retail Customer Data Exposed in Vendor Breach

September 30, 2024

TIAA Retail Customer Data Exposed in Vendor Breach
Fired BNY Advisor Claims Age Discrimination

September 26, 2024

Fired BNY Advisor Claims Age Discrimination