State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
September 06, 2024
Latest IRS Sweep of Wealthy Tax Cheats Has Recovered $172M So FarThe campaign targets high-earning taxpayers who have missed one or more tax returns since 2017.
September 06, 2024
Morgan Stanley to Pay $2M Over Sale of First Republic SharesThe firm failed to ensure the troubled bank's ex-CEO wasn't trading on inside information, says William Galvin.
September 05, 2024
California DOJ Fines Robinhood $3.9M in First-Ever Crypto Enforcement ActionThe settlement marks the first public enforcement action by the state DOJ against a crypto company.
September 04, 2024
North Dakota to Vote on Eliminating Property TaxesThe ballot measure might sound appealing but "could come back to haunt North Dakotans," the Tax Foundation says.
September 03, 2024
Childfree Planning Turns Traditional Advice on Its HeadPeople without kids are an "underserved, underrepresented and sometimes mistreated population," advisor Jay Zigmont says.
August 30, 2024
Fired Wells Fargo Banker Says Her Advisor Boss Abused HerWells Fargo knew about mistreatment by one of its highest producing advisors but nothing changed, a lawsuit alleges.
August 29, 2024
Wells Fargo Worker Found Dead in Office After 4 DaysThe employee scanned in on a Friday and was discovered Tuesday, police confirmed.
August 23, 2024
Ex-Edelman Advisor Sues Over Non-Solicitation RulesThe financial professional contends that the provisions are void under California law.
August 21, 2024
New York Judge Approves Columbian Mutual Life's Rehabilitation OrderA rehabilitator can try to get an insurer back on its feet, rather than liquidating it.
August 16, 2024
IRS Teams With States and Tax Industry to Fight ScamsThe Coalition Against Scam and Scheme Treats aims to quickly alert the public to new and emerging threats.