State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
May 01, 2023
Senate Notarization Bill Could Simplify Digital BusinessA California notary group worries it could increase the risk of identity theft.
May 01, 2023
Stifel Fined $2.5M Over Broker's Shady Trades for Seniors, ChurchStifel allowed a broker to reap excessive fees and commissions for years, Massachusetts regulators say.
April 21, 2023
Ex-Morgan Stanley, Schwab Broker Arrested on Child Porn ChargesRandall Kiefer has been charged with 21 counts related to child porn.
April 18, 2023
Making Sense of the NAIC Risk Oversight LandscapeHow regulators are managing life and annuity issuers' investments is changing.
April 17, 2023
NASAA Clears Way for 5-Year Breaks From Industry, Adds GuamStates can now permit IARs to leave the industry for up to five years while maintaining qualifications.
April 14, 2023
Galvin Appeals Robinhood Ruling That Struck Down State's Fiduciary RuleThe office of Massachusetts' top securities regulator said oral arguments in the case are now set for May 3.
April 10, 2023
Firm Founder Sentenced to 15 Years in Prison For FraudThe ex-Infinity Q Capital Management CIO was sentenced for his role in a mismarking scheme.
April 07, 2023
8 'Nerdy' S Corp Facts to Impress Your Small-Business Owner ClientsKnowledge about S corporation rules can help advisors deliver insights to these clients, Jeff Levine says.
April 06, 2023
Debate: Is the ACA Preventive Care Mandate Unconstitutional?Our tax experts discuss a federal judge's ruling on the Affordable Care Act preventive care mandate.
April 06, 2023
Robinhood Hit With $10M Fine Over Platform OutagesRegulators in seven states pushed for the settlement after numerous investors had trouble trading in March 2020.