State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
NASAA Wants to Rein in Advisors Who Fail to Pay Arb Awards
By Melanie WaddellPublic comments are sought about model rules that could prompt enforcement actions by NASAA members against violators.
September 23, 2021
Consumers Use Up Washington State's Private LTCI CapacityInsurers have responded to a flood of applications by refusing to take more applications.
September 22, 2021
Self-Directed IRA Scams Are on the Rise, State Securities Regulators WarnLawmakers will join NASAA to examine policy solutions around self-directed IRAs.
September 21, 2021
State-Registered Advisors Lack Policies to Protect Seniors: NASAA ReportAdvisors "must make improvements in recognizing and reporting cases of suspected abuse," said Lisa Hopkins, NASAA president.
September 20, 2021
New Jersey Orders Second Firm to Stop Selling Crypto ProductsCelsius Network's accounts, in which customers deposit cryptocurrencies and are paid interest, are unregistered securities, the state says.
September 16, 2021
MassMutual to Pay $4M Fine Over 'Roaring Kitty' Posts"It's clear that MassMutual was not as diligent as it should have been in supervising its employees," Galvin said.
September 09, 2021
Taxpayer-Friendly Trust Laws Are Florida's Latest AttractionUnder the new Uniform Directed Trust Act and Community Property Trust Act, Florida is even more hospitable to directed trusts or community property trusts.
August 31, 2021
California Supreme Court Applies Life Policy Termination Rules to Pre-2013 PoliciesThe court says the state's grace period and notice law affect policies issued before the Jan. 1, 2013, effective date.