State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
House-Passed H.R. 3962 Would Ease Online Notarizations
By Allison BellThe bill could make completing some types of life and annuity transactions online simpler.
July 25, 2022
September Court Date Set for LPL Network Firm Employee Charged in Double MurderRamy Fahim was charged with killing a co-worker and his roommate; he could face the death penalty.
July 20, 2022
FBI Warns of Fake Crypto Apps Spoofing Financial InstitutionsThe FBI said that it has identified 244 victims and estimates the approximate loss associated with this activity to be $42.7 million.
July 19, 2022
California State Lawmaker Tries to Keep Insurance Legislators TalkingNCOIL President Ken Cooley could influence how the Golden State addresses long-term care financing.
July 18, 2022
State Lawmakers Question Insurer Life Policy Buyout OffersAt a national meeting, lawmakers also talked about resisting federal encroachment.
July 15, 2022
Some State Lawmakers Troubled by Private Equity's Growing Life & Annuity StakeSome legislators worry private equity fund deals might be moving blocks of business from strong insurers to less-credible insurers.
July 14, 2022
Ex-Broker Charged With Murdering BofA Exec Wins Right to See Police FilesAnthony Duwayne Turner, charged with killing his ex-girlfriend Michelle Avan, can examine files for evidence of police misconduct.
July 12, 2022
Barred Broker Sentenced to Prison for $12M Ponzi SchemeMatthew Eckstein will get up to 10.5 years in prison for his role in bilking more than 50 investors, the prosecutor said.