State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Washington State’s Wealth Tax Debate Is Heating Up
By John ManganaroOpinions are divided over Gov. Jay Inslee's proposal, with critics including entrepreneur Nick Hanauer.
December 10, 2024
LPL Network Firm Worker Pleads Not Guilty to Double MurderRamy Fahim is charged with killing a co-worker and the co-worker's roommate.
November 27, 2024
BlackRock, Vanguard and State Street Sued by 11 StatesTexas and other states allege the asset managers broke antitrust laws by boosting electricity prices through their investments.
November 20, 2024
Kentucky Advisor Accused of Bilking 73-Year-Old ClientDaniel Deno, a bank advisor registered with LPL, was jailed and charged with theft and fraud.
November 06, 2024
5 Ways Trump's Election Could Affect Life and Annuity PlayersThe climate for rollover sales standards and federal estate taxes will change.
November 04, 2024
On Today's Ballots: 5 Commissioner Races and a Public LTC ProgramOne insurance commissioner race involves a man who is believed to be the tallest elected official on Earth.
October 31, 2024
Millionaire Tax Vote Opens Door to New Clash Over Chicago WealthIllinois voters will weigh in on a proposed extra levy of 3% on annual incomes of over $1 million that aims to lower property taxes.
October 29, 2024
Cause of Death Found for Wells Fargo Employee Who Died at DeskThe body of Denise Prudhomme, 61, was discovered days after she'd scanned into the office.