State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
April 05, 2023
3 States Make First Move Against Promos for AI InvestmentsPromoters "are trying to capitalize on the hype of artificial intelligence," said a regulator. "It's an absolute trap" for investors.
April 04, 2023
Next Hearing Set for Ex-Broker Charged With Murder of BofA-Merrill ExecAnthony Duwayne Turner's next court appearance for the killing of Michelle Avan in 2021 will take place on May 8.
April 03, 2023
12 States With the Highest Taxes in America: 2023Researchers for the list looked at taxation tied to real estate, vehicles, income, and the purchase of goods and services.
April 03, 2023
American College CEO to Lead Talk on Financial EducationThe panel will be part of a three-day diversity, equity and inclusion conference that started Sunday.
March 30, 2023
Cross Out More Ink Signature Requirements: IRI to NAICThe retirement services group says signing electronically should be the default.
March 28, 2023
SEC Charges Fake Advisor With Scamming $8.4M From InvestorsThe defendant, incarcerated earlier for drug trafficking, allegedly led three schemes targeting at least 28 investors.
March 28, 2023
Regulators Approve Guideline for Index-Linked Variable AnnuitiesAnother NAIC change could affect efforts to show clients how indexed universal life policies might work.
March 28, 2023
North Carolina Governor Signs Medicaid Expansion BillNorth Carolina has become the 40th state to pursue Medicaid expansion subsidies available through the ACA.
March 24, 2023
A Global View of Retirement Shows How U.S. Savers Stack UpA new global survey shows readiness remains lower in the U.S. than in many other developed countries.
March 23, 2023
Advisor Tells Regulators That Life Illustrations Are Just Too SimpleNAIC panels are also discussing AI, fast underwriting and guarantees from dead banks.