State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
12 States With the Best Economies: 2023
By Michael S. FischerWalletHub ranked the states on measures like employment, GDP growth and entrepreneurship.
June 02, 2023
Morgan Stanley Retaliated Against Whistleblower, Suit ClaimsThe employee asserts she was terminated after reporting colleagues using co-workers' passwords to make customer trades.
June 01, 2023
Friday Health Calls It QuitsThe news follows Georgia's announcement that it was putting its state's Friday Health plan into receivership.
June 01, 2023
California Doctor Questions Guardian's 'Total Disability' DefinitionThe doctor represents a class consisting of all Guardian disability insureds in California affected by a "no work" policy provision.
May 25, 2023
Ex-Edward Jones Rep Sentenced to 2 Years in Prison for Scamming ClientsThe former broker took nearly $800,000 from clients, prosecutors said.
May 25, 2023
Florida Adopts Reg BI-Friendly Annuity Sales Rule UpdateAdvocates fear a showdown with the SEC if more states don't step up soon to regulate fixed annuities.
May 23, 2023
Ex-Mutual Fund Head Sentenced to 4 Years in Prison for Advisor FraudThe Income Collecting 1-3 Months T-Bills Mutual Fund was used to defraud investors, a judge ruled.
May 18, 2023
First Command Sues LPL Over Alleged Advisor PoachingThe military-focused firm says LPL recruited three of its advisors and caused them to violate agreements.