State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
All States Should Offer Online Life Agent Exams, Industry Groups Say
By Allison BellCritics predict that returning to in-person-only testing will hurt rural candidates and weaken diversity.
August 09, 2024
IRS Provides Tax Relief to Hurricane Debby Victims in 4 StatesThe relief order applies to all of South Carolina, most of Florida and North Carolina, and part of Georgia.
August 08, 2024
Debate: Were Texas Courts Right to Pause DOL Fiduciary Standard?The injunction applies to both the investment advice fiduciary standard itself and amendments to PTE 84-24.
July 18, 2024
7 Insights on Advising Wealthy Clients in a DivorceHigh-net-worth divorcing couples often face asset division and estate planning complexities, lawyer Gus Dimopoulos says.
July 15, 2024
California Advisor Charged With Child Porn PossessionThe advisor pleaded not guilty on Thursday.
July 15, 2024
New York Moves to Take Control of Columbian Mutual LifeThe insurer has about 700,000 policies in force, according to Adrienne Harris, the financial services superintendent.
July 12, 2024
Wealthspire Launches Trust Company to Support Wealthy ClientsThe independent RIA will staff the unit with advisors who specialize in estate planning, wealth transfer and taxation.
July 10, 2024
New Jersey Opens Auto-IRA ProgramParticipation is mandatory for established employers with at least 25 workers and no retirement plan.