SEC

Advisor Upside

SEC Is Revamping Earnings Season. Will Companies Really Ditch Quarterly Reports?

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Just because companies may be given the choice of reporting results only twice a year doesn’t mean all will do so.

2 min read

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ETF Upside

SEC Requests Public Comment on Some of Wall Street’s Wildest ETFs

The agency hopes to facilitate innovation in the ETF space, while still protecting investors and the markets.

2 min read
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Advisor Upside

Supreme Court Upholds SEC’s Broad Disgorgement Powers

The nation’s highest court agreed unanimously that the SEC doesn’t need to prove monetary harm to obtain disgorgement.

2 min read
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Advisor Upside

SEC Isn’t Ready to Bet on Prediction Market ETFs Just Yet

The agency has delayed dozens of filings and is currently seeking public comment.

2 min read

Advisor Upside

SEC Wants Fewer Earnings Reports. Advisors Aren’t Sold

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When data has become a more precious resource than oil, many wealth managers are wondering why they would want less.

2 min read

Advisor Upside

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

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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

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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
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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

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