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Oct 1, 26Fund launchVolatility Shares · Cboe BZX — coverage

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SEC settles Zoe Financial referral-algorithm case with a $450,000 penalty

The order says salespeople often recommended advisers beyond the algorithm's list, and that a conflict created by an affiliated service went undisclosed until December 2024.

M&A · Oct 6Alto to buy Forge Trust from Schwab, pooling $20 billion in retirement assets

Allocators · Oct 6KKR FS Income Trust Select meets all withdrawal requests after demand tops 5% cap

book · Oct 5SEC, FINRA, CFTC, NASAA, NFA and SIPC issue a joint investor bulletin

the_wrap · Oct 5Cerebras objects to OKXICE plan to tokenize 63 U.S. stocks

the_wrap · Oct 5Blackstone Private Credit Fund board urges rejection of 12.5% discount tender

tokenization · Oct 5OKXICE files with SEC to trade 63 tokenized stocks via Uniswap v4 pools

etps · Oct 5SEC approves Cboe BZX rule change for six Volatility Shares 3x ETFs

the_wrap · Oct 5Brazil's CSD BR keeps the official fund register while mirroring ownership on the XRP Ledger

Filings · Oct 3Merrill Lynch agrees to pay $39 million to settle cash sweep class action

Filings · Oct 3SEC accuses Meyer Global of five schemes targeting SpaceX and OpenAI investors

RIA · Oct 3SEC bars Clarice Crystal Saw over alleged $2.4 million theft from elderly client

Features · Oct 3CG Financial hires TradePMR and Axos executives as platform fight intensifies

The Close · Oct 2SEC proposes letting RIAs self-custody crypto when no permitted custodian is available

regulation · Oct 2Illinois agrees to six-month crypto tax delay pending court approval

the_wrap · Oct 2SEC custody proposal would make state trust companies qualified custodians

SEC

SEC settles Zoe Financial referral-algorithm case with a $450,000 penalty

The Morning Brief