State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Vanguard to Pay $6.25M Over TDF Tax Bills in Massachusetts
By Dinah Wisenberg BrinA massive cut to investment minimums for institutional shares left small investors with a huge tax liability.
June 27, 2022
Offshore Reinsurers Back Many of Your Clients' Life and Annuity ArrangementsNorthwestern Mutual wants to see the regulators keep use of offshore reinsurance from affecting insurers' solvency.
June 22, 2022
New York State Life Beneficiaries File COVID-19 Grace Period SuitThe beneficiaries say insurers had a duty to provide clear information about a grace period extension.
June 22, 2022
Agent Wins Democratic Insurance Commissioner Runoff in GeorgiaJanice Laws Robinson is set to face off against John King, the Republican incumbent, in November.
June 21, 2022
July Court Date Set for LPL Network Firm Employee Charged With Double MurderRamy Fahim is charged with killing his co-worker at an LPL Network RIA firm and the co-worker's roommate.
June 17, 2022
New Principal Financial General Counsel Was a Prosecutor: Executive ChangesUSAA, MetLife and PartnerRe also have personnel news.
June 13, 2022
Wells Fargo in Criminal Probe Over Fake Job Interviews: ReportThe U.S. attorney's office in Manhattan is investigating, according to The New York Times.
June 13, 2022
South Carolina Withdraws From Interstate Insurance CompactThe state has objected to how the compact is handling long-term care insurance rate increase requests.