paul atkins

Advisor Upside

SEC Enforcement Claims Tumble Almost 50% This Year

Photo via Bonnie Cash – Pool via CNP/CNP / Polaris/Newscom

Chairman Paul Atkins said his agency is going after fraud affecting retail investors.

1 min read

Photo by Arpan Parikh via Pexels

Regulation

SEC Seeks to Rev Up ‘Engine of Growth’ by Loosening Corporate Disclosure Rules

SEC Chair Paul Atkins’s stance on financial regulation contrasts starkly with that of his predecessor, Gary Gensler.

2 min read
Paul Atkins, Chairman of the U.S. Securities and Exchange Commission. Photo via Michael Brochstein/Sipa USA/Newscom.

Advisor Upside

What the SEC’s Scrapping of Biden-Era Proposals Means for Advisors

The agency unveiled a series of senior-level appointments while also nixing 14 rules proposed during Gary Gensler’s time in charge.

1 min read
Photo by Art Rachen via Unsplash

Advisor Upside

SEC Grapples With Crypto Custody Quandary

Crypto is unlike traditional assets, and regulators are trying to sort out how broker-dealers and investment advisors can safeguard it.

2 min read

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