Regulation & Legislation

Advisor Upside

Why the SEC Dropped Its Cash Sweep Investigation into LPL

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The Securities and Exchange Commission has entered into a deregulatory era.

2 min read

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ETF Upside

Dozens of Issuers Win Dual Share Class Approval. Rolling Them Out Won’t Be as Easy

The latest group of issuers’ dual share class applications were greenlit last week, paving the way for the implementation process.

2 min read
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ETF Upside

SEC Lightens Up on Enforcement

Companies will have double the time to respond to notorious Wells notices, letters telling them they will likely face charges.

1 min read
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ETF Upside

SEC Pushes Back Fund Reporting Requirements

The agency, which is on a deregulatory tear, is setting itself up to roll back Biden-era public-reporting rules for mutual funds and ETFs.

2 min read

ETF Upside

Proposed ETF from VegaShares Bets on 4X Leveraged Funds

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Vega Capital Partners filed for 16 highly leveraged ETFs not long after the SEC told other issuers that such products wouldn’t fly.

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ETF Upside

ETF Filings on Hold Amid Government Shutdown

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The SEC halted operations last week amid the federal government shutdown, pausing dozens of ETF applications.

2 min read

ETF Upside

New Spot Crypto Products? Regulators Say Bring It On

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The SEC and CFTC recently issued a rare joint statement encouraging applications for new spot crypto products.

2 min read

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