State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Draft Suitability Guide Could Shape How States Regulate Annuity Sales
By Allison BellArizona, Iowa and Rhode Island have already adopted the NAIC's model update. Commenters, including Michael Kitces, speak up.
December 01, 2020
Delaware Floats 'Best Interest' Rule for Annuity SalesLike rules adopted by Arizona, Iowa and Rhode Island, Delaware's proposal would align with the SEC's Regulation Best Interest.
November 30, 2020
NASAA Adopts Rule on CE Credits for Investment AdvisorsThe group's model rule requires IARs to take 12 hours of continuing education each year.
November 25, 2020
12 Best States for the Middle ClassSmartAsset rates the states on factors such as homeownership, job growth and income levels.
November 20, 2020
Morgan Stanley Fires Brokers Over Legacy Account PaymentsThe firings involve a program allowing departing brokers to split fees and commissions with the reps who inherit their accounts.
November 19, 2020
Kamala Harris' Former Policy Chief Gives Peek Into New White House PrioritiesDaniel Suvor, who worked with Harris in California, discusses what he expects to see on the next White House's to-do list.
November 10, 2020
50 States of New Data for the Third Wave of COVID-19Mortality is looking a little worse in much of the country, and a lot worse in Wyoming.
November 09, 2020
SEC Alert Flags 'Multi-Branch' RisksExaminers observed that the branch office model "may pose certain risk factors."