State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
June 21, 2024
7 Things Advisors Need to Know About DivorceDivorce may be emotionally painful, but some of the financial suffering can be mitigated, experts say.
June 21, 2024
Trial Date Set for Ex-Broker Charged With BofA Exec's MurderA jury trial for Anthony Duwayne Turner, accused of killing Michelle Avan, is scheduled to start Sept. 9.
June 20, 2024
Fugitive Ex-Advisor Who Appeared on CNBC Arrested on Fraud ChargesJames Arthur McDonald Jr. allegedly lost over $30 million, then solicited millions from investors for a purported capital raise.
June 18, 2024
We Have Regulators Too, Bermuda's Insurers SayThe companies' trade group points out that their home has rigorous oversight standards, and taxes.
June 10, 2024
California Could Curb Private Equity Health DealsOne question is whether efforts to impose new restrictions could spread to other sectors.
June 07, 2024
Documentary Promotes Aid-in-Dying BillsThe filmmaker's parents received support for end-of-life care from their California health plan.
June 07, 2024
Rhode Island Lawmakers Introduce Auto-IRA BillThe Secure Choice bill would pair a mandate to offer retirement plans with a state-run option.
June 05, 2024
Texas to Take On NYSE With New Stock ExchangeThe Texas Stock Exchange has raised $120 million from backers including BlackRock and Citadel.
June 05, 2024
'Roaring Kitty' GameStop Trades Under Investigation in Mass.The investigation comes on top of a threat by E-Trade to ban the meme stock trader.
June 03, 2024
Genworth Appeals LTCI Rate Ruling in MassachusettsBay State officials questioned the insurer's customer communications and premium needs analysis.