State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
October 22, 2024
How Medicare Advantage Cuts Have Hurt the 2025 Plan MarketTrade groups have analyzed new CMS data to measure the toll of rising care costs and policy changes.
October 18, 2024
Fidelity, Russell and SEI Quizzed by DOJ as Ken Leech Probe Ramps UpMoney managers that used Western Asset Management to help invest their bond portfolios are being questioned by authorities.
October 16, 2024
State Tax Ballot Measures to Watch in NovemberTax questions on income, property, capital gains and more are up for votes on Election Day.
October 15, 2024
U.S. Needs Bermuda to Boost Annuity Supply, Regulators SayConference speakers emphasized the big capital hole left by years of low interest rates.
October 10, 2024
TD Fined $3.1B, Hit With Asset Cap Over Money LaunderingThe news follow Toronto-Dominion Bank's guilty plea over its failure to prevent money laundering by drug cartels and other criminals.
October 07, 2024
Stifel Must Pay Clients Over $14M in Structured Notes Case: FINRA PanelThe award includes $9 million in punitive damages.
October 03, 2024
Regulators Eye Rules for 600% Long-Term Care Insurance Rate IncreasesInsurers point to block solvency. Texas is talking about fairness to policyholders.
October 01, 2024
Texas Stock Exchange Names Nasdaq, NYSE Veterans to Top JobsThe Texas Stock Exchange also hired veterans of the SEC and Schwab.
September 30, 2024
TIAA Retail Customer Data Exposed in Vendor BreachData for close to 9,000 TIAA and TIAA-CREF Life customers was exposed, the firm said.
September 26, 2024
Fired BNY Advisor Claims Age DiscriminationThe advisor says a manager made ageist remarks and dismissed him despite his consistently strong performance.