State Regulation

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

SEC Charges Fake Advisor With Scamming $8.4M From Investors

March 28, 2023

SEC Charges Fake Advisor With Scamming $8.4M From Investors
Regulators Approve Guideline for Index-Linked Variable Annuities

March 28, 2023

Regulators Approve Guideline for Index-Linked Variable Annuities
North Carolina Governor Signs Medicaid Expansion Bill

March 28, 2023

North Carolina Governor Signs Medicaid Expansion Bill
A Global View of Retirement Shows How U.S. Savers Stack Up

March 24, 2023

A Global View of Retirement Shows How U.S. Savers Stack Up
Advisor Tells Regulators That Life Illustrations Are Just Too Simple

March 23, 2023

Advisor Tells Regulators That Life Illustrations Are Just Too Simple
CalPERS Agrees to $820M Long-Term Care Insurance Rate Suit Settlement

March 23, 2023

CalPERS Agrees to $820M Long-Term Care Insurance Rate Suit Settlement
Advisor Charged With Defrauding Clients in Annuity Switching Scheme

March 21, 2023

Advisor Charged With Defrauding Clients in Annuity Switching Scheme