State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Ex-Morgan Stanley, Schwab Broker Arrested on Child Porn Charges
By Jeff BermanRandall Kiefer has been charged with 21 counts related to child porn.
April 14, 2023
Galvin Appeals Robinhood Ruling That Struck Down State's Fiduciary RuleThe office of Massachusetts' top securities regulator said oral arguments in the case are now set for May 3.
April 10, 2023
Firm Founder Sentenced to 15 Years in Prison For FraudThe ex-Infinity Q Capital Management CIO was sentenced for his role in a mismarking scheme.
April 07, 2023
8 'Nerdy' S Corp Facts to Impress Your Small-Business Owner ClientsKnowledge about S corporation rules can help advisors deliver insights to these clients, Jeff Levine says.
April 06, 2023
Debate: Is the ACA Preventive Care Mandate Unconstitutional?Our tax experts discuss a federal judge's ruling on the Affordable Care Act preventive care mandate.
April 06, 2023
Robinhood Hit With $10M Fine Over Platform OutagesRegulators in seven states pushed for the settlement after numerous investors had trouble trading in March 2020.
April 05, 2023
3 States Make First Move Against Promos for AI InvestmentsPromoters "are trying to capitalize on the hype of artificial intelligence," said a regulator. "It's an absolute trap" for investors.
April 04, 2023
Next Hearing Set for Ex-Broker Charged With Murder of BofA-Merrill ExecAnthony Duwayne Turner's next court appearance for the killing of Michelle Avan in 2021 will take place on May 8.