SEC

ETF Upside

Copycat ETFs Are Everywhere. Should Issuers Worry?

Photo via DPST/Newscom

So-called copycat filings are picking up, but whether they’re a problem remains up for debate.

4 min read

Photo via BONNIE CASH/UPI/Newscom

Advisor Upside

SEC Zeroes In on Advisors Recommending Alternatives. Just Not Crypto

Crypto’s exclusion further highlights the complete 180 Paul Atkins’s SEC has done on multiple issues from the previous administration.

2 min read
Photo by City Dweller via CC BY-SA 4.0

ETF Upside

What Dimensional’s Dual-Share-Class Approval Means for Advisors

This week’s SEC decision may be one of the most significant since the ETF Rule in 2019.

2 min read
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ETF Upside

Dual Share Classes Are Here, But There’s an ‘Apollo 13’ Problem

Trading fractional shares for whole shares will require some communication and help, according to one firm that offers shareholder services.

2 min read

Advisor Upside

What Happens When Private Markets Get Opened Up to the Masses?

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Increased regulation could hurt the potentially high-returns that make private markets so attractive in the first place.

2 min read

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Advisor Upside

The Next AI Gold Rush May Be Compliance

AI notetakers have been all the rage. Experts think compliance may be up next.

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

Advisor Upside

Why the SEC Wants to End Quarterly Earnings Reports

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

Finance

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

Photo via Tom Williams/CQ Roll Call/Newscom

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
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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
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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

Finance

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

Photo via Gent Shkullaku/ZUMAPRESS/Newscom

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

2 min read

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