Regulation And Legislation

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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 three or four names could replace Fed's Powell
REGULATION AND LEGISLATION JUN 26, 2025
Trump says three or four 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
REGULATION AND LEGISLATION JUN 17, 2025
Senate wants changes to Trump’s tax bill; here’s what’s expected

‘Revenge tax’ on foreign investors could be scrapped in new version.

By Bloomberg
CFTC’s regulatory pioneer Bagley dies aged 96
REGULATION AND LEGISLATION JUN 17, 2025
CFTC’s regulatory pioneer Bagley dies aged 96

Veteran legislator helped set the standard for derivatives regulation.

By Bloomberg
Maryland bars advisor over charging excessive fees to clients
REGULATION AND LEGISLATION JUN 13, 2025
Maryland bars advisor over charging excessive fees to clients

Blue Anchor Capital Management and Pickett also purchased "highly aggressive and volatile" securities, according to the order.

By Bruce Kelly
Wave of SEC appointments signals regulatory shift with implications for financial advisors
REGULATION AND LEGISLATION JUN 13, 2025
Wave of SEC appointments signals regulatory shift with implications for financial advisors

Reshuffle provides strong indication of where the regulator's priorities now lie.

By Matthew Sellers
Court revives lawsuit over 15% fund return promise
REGULATION AND LEGISLATION JUN 12, 2025
Court revives lawsuit over 15% fund return promise

'Nostradamus' real estate entrepreneur accused of misleading investors on social media despite SEC's objections.

By Matthew Sellers
Vanguard seeking SEC green light to expand trademark tax-busting fund design
ETFS JUN 12, 2025
Vanguard seeking SEC green light to expand trademark tax-busting fund design

The Jack Bogle-founded firm is looking to apply its famed dual-share class structure to actively managed strategies.

By Bloomberg
Is the SEC's private fund exemption rule about to change?
ALTERNATIVES JUN 12, 2025
Is the SEC's private fund exemption rule about to change?

House bill seeks inflation-based adjustment to private fund advisor exemption.

Congress pushes to make fintech oversight offices permanent at SEC, CFTC
REGULATION AND LEGISLATION JUN 12, 2025
Congress pushes to make fintech oversight offices permanent at SEC, CFTC

A new House measure would enshrine FinHub and LabCFTC as permanent fixtures, deepening ties with financial technology sector.

FINRA and advisors' other work
INDEPENDENT BROKER DEALERS JUN 12, 2025
FINRA and advisors' other work

The brokerage industry regulator once again takes a stab at updating rules for independent brokers with other businesses and jobs

By Bruce Kelly
SEC chair says hedge funds may have to submit less data
REGULATION AND LEGISLATION JUN 12, 2025
SEC chair says hedge funds may have to submit less data

Paul Atkins wants agency staff to narrow the scope of filing requirements.

By Bloomberg
New York Attorney General Letitia James charges insurance agent with running $50 million Ponzi scheme
REGULATION AND LEGISLATION JUN 11, 2025
New York Attorney General Letitia James charges insurance agent with running $50 million Ponzi scheme

Miles Marshall was "the proverbial big fish in a small pond," according to one attorney.

By Bruce Kelly
Stablecoin plans face crucial Senate vote this week
REGULATION AND LEGISLATION JUN 10, 2025
Stablecoin plans face crucial Senate vote this week

Trump and the crypto industry support the proposed legislation.

By Bloomberg
LPL, Edward Jones, other brokerages hit with multimillion-dollar settlement over excessive commissions
INDEPENDENT BROKER DEALERS JUN 09, 2025
LPL, Edward Jones, other brokerages hit with multimillion-dollar settlement over excessive commissions

Multi-year NASAA investigation shows the five firms charged customers $19 million across just over a million trades, violating FINRA rules.

By Leo Almazora
Ex-Edward Jones advisor wins defamation fight against old firm
INDEPENDENT BROKER DEALERS JUN 09, 2025
Ex-Edward Jones advisor wins defamation fight against old firm

Financial advisors live in fear of a large firm dirtying their work histories after they leave a firm.

By Bruce Kelly