State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
CFP Board Sanctions Advisor Over Misleading YouTube Video Ad
By Jeff BermanThe planner claimed individuals could be "100% certain" of affording retirement in "just 3-5 years," the board said.
January 09, 2023
NASAA Plans 2023 Push for Bad Actors DatabaseState securities regulators want Congress to pass a bill requiring the creation of a fraudster database.
January 05, 2023
California to Reality-Check $144K Public Long-Term Care Benefits PackageThe proposed LTC program could pay for care both inside and outside Of the state.
January 05, 2023
Symetra and Mutual of America Add Annuity AffiliatesOne insurer started a company in Bermuda. Another made a deal in Texas.
December 30, 2022
FINRA Fines, Suspends Ex-Securities America Rep Who Impersonated Dead ClientThe ex-broker pretended to be her deceased relative, a firm client, in a phone call, FINRA says.
December 29, 2022
Republicans Ramp Up Anti-ESG Campaign for 2023The political assault by the right is backed by former Vice President Mike Pence, as well as by the governors of Florida and Texas.
December 21, 2022
Will Your Client's Medicaid Trust Survive the Move to Florida?Strategies for preserving the family home must comply with state-specific laws if the client plans to move.
December 20, 2022
NAIC Task Force Adopts Index-Linked Variable Annuity GuidelinesThe industry may finally adopt a standard name for this variable-annuity product.