Regulation And Legislation

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If the average American was in charge, would they have voted for the 'big beautiful' bill?
REGULATION AND LEGISLATION JUL 07, 2025
If the average American was in charge, would they have voted for the 'big beautiful' bill?

Survey suggests those from across the political spectrum might have other ideas.

By Steve Randall
SEC charges Chicago-based investment adviser with overbilling clients more than $2.5M in fees
REGULATION AND LEGISLATION JUL 03, 2025
SEC charges Chicago-based investment adviser with overbilling clients more than $2.5M in fees

Eliseo Prisno, a former Merrill advisor, allegedly collected unapproved fees from Filipino clients by secretly accessing their accounts at two separate brokerages.

By Leo Almazora
US employment report reactions: Overall better than expected, but concerns with underlying data
EQUITIES JUL 03, 2025
US employment report reactions: Overall better than expected, but concerns with underlying data

Chief economists, advisors, and chief investment officers share their reactions to the June US employment report.

By Andy Burt
Creative Planning's Peter Mallouk slams 'offensive' congressional stock trading
EQUITIES JUL 03, 2025
Creative Planning's Peter Mallouk slams 'offensive' congressional stock trading

"This shouldn’t be hard to ban, but neither party will do it. So offensive to the people they serve," RIA titan Peter Mallouk said in a post that referenced Nancy Pelosi's reported stock gains.

By Andrew Cohen
Trump tax bill debate sees critical hurdle cleared
REGULATION AND LEGISLATION JUL 03, 2025
Trump tax bill debate sees critical hurdle cleared

House debated late into the night ahead of final vote.

By Bloomberg
Invictus managers withhold $10M, trigger ERISA asset showdown
LIFE INSURANCE AND ANNUITIES JUL 02, 2025
Invictus managers withhold $10M, trigger ERISA asset showdown

Invictus fund managers allegedly kept $10 million in plan assets after removal, setting off a legal fight that raises red flags for wealth firms.

By Matthew Sellers
SEC charges barred ex-Merrill broker behind Bain Capital private equity fraud
REGULATION AND LEGISLATION JUL 01, 2025
SEC charges barred ex-Merrill broker behind Bain Capital private equity fraud

The Texas-based former advisor reportedly bilked clients out of millions of dollars, keeping them in the dark with doctored statements and a fake email domain.

By Leo Almazora
Trump's tax bill passes senate in hard-fought victory for Republicans
REGULATION AND LEGISLATION JUL 01, 2025
Trump's tax bill passes senate in hard-fought victory for Republicans

The $3.3 trillion tax and spending cut package narrowly got through the upper house, with JD Vance casting the deciding vote to overrule three GOP holdouts.

By Bloomberg
Big tech loses as Senate backs state-level regulation of AI
REGULATION AND LEGISLATION JUL 01, 2025
Big tech loses as Senate backs state-level regulation of AI

Lawmakers decided not to agree compromise proposal in Trump tax bill.

By Bloomberg
Will Congress open the door to more private market opportunities?
REGULATION AND LEGISLATION JUN 30, 2025
Will Congress open the door to more private market opportunities?

A House bill could stop the SEC from blocking closed-end funds' private fund investments.

Supreme Court slaps down challenge to IRS summons for Coinbase user data
ALTERNATIVES JUN 30, 2025
Supreme Court slaps down challenge to IRS summons for Coinbase user data

Crypto investor argues the federal agency's probe, upheld by a federal appeals court, would "strip millions of Americans of meaningful privacy protections."

By Bloomberg
Advisors targeted in 'pretexting' phishing scam impersonating SEC
REGULATION AND LEGISLATION JUN 27, 2025
Advisors targeted in 'pretexting' phishing scam impersonating SEC

Financial services compliance consultant ACA Group told InvestmentNews it had four clients report receiving emails that impersonated David Bottom, the SEC's chief information officer, with smaller firms being targeted.

By Andrew Cohen
Ex-Pennsylvania RIA hit with 8-year sentence over $23M client fraud
REGULATION AND LEGISLATION JUN 27, 2025
Ex-Pennsylvania RIA hit with 8-year sentence over $23M client fraud

The former investment advisor misled clients in a decade-long scheme to fund international travel expenses, country club fees, and other personal expenses, according to three government agencies.

By Leo Almazora
Treasury says 'revenge tax' will go from 'big beautiful' bill
REGULATION AND LEGISLATION JUN 27, 2025
Treasury says 'revenge tax' will go from 'big beautiful' bill

Agreement reached with G-7 allies will benefit US companies.

By Bloomberg
Stablecoin bill could be ready for Trump signature in weeks
REGULATION AND LEGISLATION JUN 27, 2025
Stablecoin bill could be ready for Trump signature in weeks

House Republicans aim to get the legislation through imminently.

By Bloomberg
Trump says four or five names could replace Fed's Powell
REGULATION AND LEGISLATION JUN 26, 2025
Trump says four or five names could replace Fed's Powell

The president wants to oust 'terrible' central bank chair.

By Bloomberg
California advisor who took cash from cannabis client barred
REGULATION AND LEGISLATION JUN 24, 2025
California advisor who took cash from cannabis client barred

The advisor, Andrew Nash of El Capitan Advisors, used the funds to buy a house, according to the SEC.

By Bruce Kelly
Former CFA Institute exec charged with embezzling almost $5M
REGULATION AND LEGISLATION JUN 24, 2025
Former CFA Institute exec charged with embezzling almost $5M

Ex-CMO accused of using the organization’s money to fund a luxury lifestyle.

By Bloomberg
NY Republican Stefanik presses SEC to probe Harvard bond sale
FIXED INCOME JUN 18, 2025
NY Republican Stefanik presses SEC to probe Harvard bond sale

Open letter to SEC Chair Paul Atkins questions whether the Ivy League university withheld material information prior to its $750 million taxable bond offering.

By Bloomberg
'Finfluencer' Ponzi scheme defrauds investors of over $20M
REGULATION AND LEGISLATION JUN 17, 2025
'Finfluencer' Ponzi scheme defrauds investors of over $20M

The social influencer Tyler Bossetti pleaded guilty to wire fraud and aiding in the filing of false tax documents as a result of the real estate scheme, which ran from 2019 to 2023 and used platforms including Facebook and YouTube.

By Andy Burt