Regulation

Bloomberg -- JPMorgan Chase & Co.’s negotiations with federal and state authorities to resolve a series of investigations tied to mortgage bonds are focusing on a potential $11 billion figure, including $4 billion for consumer relief, a person familiar with the talks said.

BNY Mellon has been named to one of the most highly regarded global sustainability indices, the Dow Jones Sustainability Indices (DJSI).

Corporate-bond brokers may face a squeeze on profits as regulators start publishing prices for almost $1 trillion of privately sold debt, if the past is any guide.

SEC Chair Mary Jo White met with leaders of the equities and options exchanges, FINRA the Depository Trust & Clearing Corporation and the Options Clearing Corporation following the August 22 interruption in the trading of NASDAQ-listed securities.

Significantly altered results now appear when users search for fee-only advisors.

While the coming fiscal debate looms in the background -- along with probable accompanying market volatility -- there are a number of other possible legislative and regulatory items that also affect the insurance and advisory industry.

An ex-Merrill Lynch advisor and his client face federal charges after allegedly setting up a network of offshore accounts to conceal an insider trading scheme.

The CFP Board extended a broad amnesty to hundreds of advisors who had been breaking its rules by calling themselves fee-only on the board’s website. The surprise move prompted calls for the board to reconsider and possibly rescind recent sanctions of other CFP holders for similar transgressions.

A complaint filed by the SEC accuses a former Merrill Lynch advisor and his client of making insider trades and hiding profits in offshore accounts.

JPMorgan Chase & Co., Barclays Plc, Credit Suisse Group AG and 10 other international lenders were sued by a U.S. credit union regulator alleging they illegally manipulated benchmark Libor interest rates.