State Regulation

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

California DOJ Fines Robinhood $3.9M in First-Ever Crypto Enforcement Action

September 05, 2024

California DOJ Fines Robinhood $3.9M in First-Ever Crypto Enforcement Action
North Dakota to Vote on Eliminating Property Taxes

September 04, 2024

North Dakota to Vote on Eliminating Property Taxes
Childfree Planning Turns Traditional Advice on Its Head

September 03, 2024

Childfree Planning Turns Traditional Advice on Its Head
Fired Wells Fargo Banker Says Her Advisor Boss Abused Her

August 30, 2024

Fired Wells Fargo Banker Says Her Advisor Boss Abused Her
Wells Fargo Worker Found Dead in Office After 4 Days

August 29, 2024

Wells Fargo Worker Found Dead in Office After 4 Days
Ex-Edelman Advisor Sues Over Non-Solicitation Rules

August 23, 2024

Ex-Edelman Advisor Sues Over Non-Solicitation Rules
New York Judge Approves Columbian Mutual Life's Rehabilitation Order

August 21, 2024

New York Judge Approves Columbian Mutual Life's Rehabilitation Order
IRS Teams With States and Tax Industry to Fight Scams

August 16, 2024

IRS Teams With States and Tax Industry to Fight Scams
All States Should Offer Online Life Agent Exams, Industry Groups Say

August 15, 2024

All States Should Offer Online Life Agent Exams, Industry Groups Say
Life and Annuity Illustrations Confuse Clients, Advisor Tells Regulators

August 13, 2024

Life and Annuity Illustrations Confuse Clients, Advisor Tells Regulators