State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
IRS Provides Tax Relief to Hurricane Debby Victims in 4 States
By John ManganaroThe relief order applies to all of South Carolina, most of Florida and North Carolina, and part of Georgia.
July 15, 2024
California Advisor Charged With Child Porn PossessionThe advisor pleaded not guilty on Thursday.
July 15, 2024
New York Moves to Take Control of Columbian Mutual LifeThe insurer has about 700,000 policies in force, according to Adrienne Harris, the financial services superintendent.
July 12, 2024
Wealthspire Launches Trust Company to Support Wealthy ClientsThe independent RIA will staff the unit with advisors who specialize in estate planning, wealth transfer and taxation.
July 10, 2024
New Jersey Opens Auto-IRA ProgramParticipation is mandatory for established employers with at least 25 workers and no retirement plan.
July 08, 2024
Genworth Sues Trustee Over Life Insurance Claim DelaysThe insurer wants to avoid having to pay 6% interest on the death benefits for more than 60 days.
June 27, 2024
Battle Flares Over Long-Term Care Insurance Rate Hike RulesThe insureds are watching, angrily. The insurers say issuer solvency has to come first.
June 21, 2024
7 Things Advisors Need to Know About DivorceDivorce may be emotionally painful, but some of the financial suffering can be mitigated, experts say.