SEC

Advisor Upside

Why the SEC Wants to End Quarterly Earnings Reports

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

SEC Chairman Paul Atkins advocated to end the reports as a cost-saving measure for listed companies.

2 min read

Photo by City Dweller via CC BY-SA 4.0

Advisor Upside

SEC Ready to Let Fund Shops Explore Their Dual Share-Class Natures

ETF share classes of mutual funds (and vice versa) could be approved in just two weeks, according to an agency notice posted Monday.

2 min read
Photo via Tom Williams/CQ Roll Call/Newscom

Finance

Investors Have a Question About SEC’s Policy Shift on Arbitration: Cui Bono?

Class-action securities settlements in 88 cases totaled about $3.7 billion in 2024, according to data collected by Cornerstone Research.

2 min read
Photo via Bonnie Cash – Pool via CNP/CNP / Polaris/Newscom

Advisor Upside

SEC Enforcement Claims Tumble Almost 50% This Year

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

1 min read

Advisor Upside

What Clients Need to Know About ETFs

Photo by Torsten Asmus via iStock

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

3 min read

ETF Upside

What’s Inside the SEC’s Latest Crypto ETF Guidance

Photo via Graeme Sloan/Sipa USA/Newscom

The agency’s new guidelines focus on disclosures around price fluctuations and market manipulation, among other common concerns.

2 min read

Advisor Upside

What’s Going on With Muni Bonds?

Photo by Mohamad Faizal Bin Ramli via iStock

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

ETF Upside

SEC’s Going on the Atkins Diet

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

Sign Up for The Daily Upside to Unlock This Article

Sharp news & analysis on finance, economics, and investing.