State Regulation

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

Galvin Appeals Robinhood Ruling That Struck Down State's Fiduciary Rule

April 14, 2023

Galvin Appeals Robinhood Ruling That Struck Down State's Fiduciary Rule
Firm Founder Sentenced to 15 Years in Prison For Fraud

April 10, 2023

Firm Founder Sentenced to 15 Years in Prison For Fraud
8 'Nerdy' S Corp Facts to Impress Your Small-Business Owner Clients

April 07, 2023

8 'Nerdy' S Corp Facts to Impress Your Small-Business Owner Clients
Debate: Is the ACA Preventive Care Mandate Unconstitutional?

April 06, 2023

Debate: Is the ACA Preventive Care Mandate Unconstitutional?
Robinhood Hit With $10M Fine Over Platform Outages

April 06, 2023

Robinhood Hit With $10M Fine Over Platform Outages
3 States Make First Move Against Promos for AI Investments

April 05, 2023

3 States Make First Move Against Promos for AI Investments
Next Hearing Set for Ex-Broker Charged With Murder of BofA-Merrill Exec

April 04, 2023

Next Hearing Set for Ex-Broker Charged With Murder of BofA-Merrill Exec