News

Some Brokers Call Themselves ‘Advisors.’ State Regulators Say That Isn’t OK.
The North American Securities Administrators Association has adopted amendments to a model rule that would bar broker-dealer ...
Prairie Public News10d
Legislature approves moving securities regulation to the Insurance Commissioner's office
The Legislature has approved a proposal to have the state Insurance Commissioner’s office assume the duties of the state securities commissioner. Insurance Commissioner Jon Godfread said it’s a good ...
The Bismarck Tribune10d
North Dakota lawmakers approve move to fold securities oversight into insurance office
The North Dakota Legislature approved a proposal to have the state Insurance Commissioner’s office assume the duties of the ...
Decrypt8d
Judge Pauses 18-State Lawsuit Against SEC, Saying It Could 'Potentially Be Resolved'
The 60-day stay in the case was granted after the SEC said the case could be resolved, amid shifting enforcement priorities.
JD Supra5d
SEC Small Business Advisory Committee to Consider the Market Impact and Challenges of Regulation A
The Securities and Exchange Commission’s (SEC) Small Business Capital Formation Advisory Committee (the “Committee”) will meet on May 6, 2025 to consider the market impact and challenges associated ...