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 Highest Taxes in America: 2023
By Michael S. FischerResearchers for the list looked at taxation tied to real estate, vehicles, income, and the purchase of goods and services.
March 28, 2023
SEC Charges Fake Advisor With Scamming $8.4M From InvestorsThe defendant, incarcerated earlier for drug trafficking, allegedly led three schemes targeting at least 28 investors.
March 28, 2023
Regulators Approve Guideline for Index-Linked Variable AnnuitiesAnother NAIC change could affect efforts to show clients how indexed universal life policies might work.
March 28, 2023
North Carolina Governor Signs Medicaid Expansion BillNorth Carolina has become the 40th state to pursue Medicaid expansion subsidies available through the ACA.
March 24, 2023
A Global View of Retirement Shows How U.S. Savers Stack UpA new global survey shows readiness remains lower in the U.S. than in many other developed countries.
March 23, 2023
Advisor Tells Regulators That Life Illustrations Are Just Too SimpleNAIC panels are also discussing AI, fast underwriting and guarantees from dead banks.
March 23, 2023
CalPERS Agrees to $820M Long-Term Care Insurance Rate Suit SettlementPolicyholders have been fighting CalPERS in court since 2013.
March 21, 2023
Advisor Charged With Defrauding Clients in Annuity Switching SchemeClients incurred over $640,000 in surrender charges, according to the SEC.