SEC

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 Torsten Asmus via iStock

Advisor Upside

What Clients Need to Know About ETFs

With assets reaching new heights, advisors need to inform clients about what exchange-traded funds can — and can’t — do.

3 min read
Photo by Getty Images via Unsplash

Advisor Upside

Why Some RIAs Want Bigger Slices of the ETF Pie than Others

Independent RIAs allocate as much as 80% — or as little as 2% — to ETFs, a new AdvizorPro report found.

2 min read
Photo via Gent Shkullaku/ZUMAPRESS/Newscom

Finance

CFPB Rewrites Open Banking Rule as Banks Feud with Fintechs Over Your Data

The “open banking” rule goes back to the 2010 Dodd-Frank Act that introduced sweeping financial reforms after the Great Recession.

2 min read

Advisor Upside

NASAA Proposes New Marketing Guidelines

Photo by Melanie Deziel via Unsplash

The investor protection organization wants its advertising rules to align more closely with federal standards.

1 min read

Regulation

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

Photo by Arpan Parikh via Pexels

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

2 min read

Photo by Mohamad Faizal Bin Ramli via iStock

Advisor Upside

What’s Going on With Muni Bonds?

Investors appear to be punishing the muni market, which comprises about 9% of the $47 trillion US bond industry.

4 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 Ablokhin via iStock

ETF Upside

SEC ‘Housecleaning’ Collides with Shifting Regulatory Priorities

The SEC may walk back accredited investor standards and press forward on crypto regulation with a much smaller staff.

2 min read

ETF Upside

SEC’s Going on the Atkins Diet

Photo by St. Gallen Symposium via CC BY-SA 4.0

Expect less attention on Wall Street firms and more on greenlighting alt products with Chairman Paul Atkins leading the agency, experts said.

2 min read

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