State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
These 12 States Will Be the Poorest by 2025: Analysis
By Michael S. FischerA business communications firm looked at trends in home values, income and GDP.
February 04, 2021
GPB Capital CEO, 2 Others Arrested in Scheme That Bilked 17,000 InvestorsThe SEC and seven state securities agencies also filed regulatory actions tied to the $1.7 billion scheme.
February 04, 2021
Creative Planning Strikes Its Biggest Deal to DateThe RIA has acquired the retirement division of Iron Financial, which has $6 billion in assets.
February 04, 2021
These 12 States Will Be the Richest by 2025: AnalysisA business communications firm looked at trends in home values, income and GDP.
February 04, 2021
MassMutual Under Investigation Over 'Roaring Kitty'Massachusetts regulators are "looking into whether or not MassMutual should have been aware" of its ex-advisor's activities.
February 02, 2021
New York State Imposes 'Unauthorized' Insurer Penalty on AIGThe action involved the sale of a large group annuity.
February 01, 2021
States Move to Probe GameStop Trading, Brokerage IssuesTexas Attorney General Ken Paxton issues civil investigative demands to Robinhood, Interactive Brokers, TD Ameritrade, E-Trade and other firms.
February 01, 2021
How Ace Stock Picker John Buckingham Reacted to GameStop SqueezeThe longtime value investor tells ThinkAdvisor some of his 2021 stock picks and discusses why he's optimistic now.