State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Biden Wins U.S. Presidency After Bitter Contest With Trump
By Jordan Fabian and Tyler PagerIf Republicans hold the Senate, Biden's plans for tax hikes on the wealthy and corporations could be stymied.
November 02, 2020
Yes, We Could Get Some Certainty on Election NightTwo key swing states could report the bulk of their vote counts, and if Trump loses them, it's likely over, BNY Mellon's deputy CIO says.
October 30, 2020
Should Compliance Officers Be Held Personally Liable? SEC's Peirce Weighs InToo much liability could discourage talented people from working in compliance, the SEC commissioner says.
October 23, 2020
More States Moving to Adopt NAIC Model Annuity RuleThe model rule, adopted by NAIC in February, incorporates a best-interest standard of conduct and aligns with Reg BI.
October 22, 2020
Political Heavyweights Rove, Axelrod Weigh In on Election"It's an uphill fight" for Trump, but "I wouldn't rule him out," Karl Rove says.
October 19, 2020
50 States of Data for the Third Wave of COVID-19Dynata's survey program suggests that the infection rate is rising for college-age people in many states.
October 12, 2020
XYPN Rules Out Supreme Court Challenge to Reg BIXYPN has retained industry lobbyist Duane Thompson to help push for state-level fiduciary rules.
September 29, 2020
50 States of New Summer COVID-19 Wave Death Data, Plus D.C.Our latest college and university dashboard suggests that careful schools may be getting the virus under control.