State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
State Regulators Find Fraud on the Rise in Digital Assets, Social Media
By Melanie WaddellPublic tips and investor complaints are also rising, according to NASAA.
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.