SEC

Advisor Upside

SEC Grants Dual-Share-Class Approval to Two Dozen More Issuers

Photo by Ray Hennessy via Unsplash

It’s going to be a while before ETF share classes of mutual funds are commonplace, but many asset managers now have regulatory approval.

2 min read

Photo illustration by Connor Lin / The Daily Upside, Photo by Klyaksun via iStock

Investing Strategies

How the ‘Domino Effect’ from a Wonky SEC Policy Shift May Ease Capital Gains Pain

An ETF makeover for mutual funds, enabled by the Securities and Exchange Commission, may cut taxes for millions and upend the funds biz.

5 min read
Advisor Upside

Congress Weighs Axing FINRA. But Is SEC Ready to Pick Up the Slack?

Moving those responsibilities into the SEC would raise practical questions about resources and capacity, experts say.

2 min read
Photo by Hapabapa via iStock

Advisor Upside

Why the SEC Dropped Its Cash Sweep Investigation into LPL

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

2 min read

Advisor Upside

Caroline Crenshaw’s SEC Exit Leaves Behind an All-Republican Commission

Photo via U.S. Securities and Exchange Commission

2 min read

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

Advisor Upside

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

Photo by Getty Images via Unsplash

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

2 min read

Photo by Sumaid pal Singh Bakshi via Unsplash

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

Sign Up for The Daily Upside to Unlock This Article

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