SEC

Advisor Upside

Will Client Testimonials Catch On With Advisors?

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The SEC has allowed testimonials in advertisements since 2022, yet less than 10% of advisors use them.

1 min read

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Regulation

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

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

2 min read
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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

ETF Upside

SEC ‘Housecleaning’ Collides with Shifting Regulatory Priorities

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

2 min read

Advisor Upside

Vanguard Pushes Ahead with Another Active ETF

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The firm is nearing a dozen actively managed exchange-traded funds in its lineup.

2 min read

Advisor Upside

Brokerages Up the Ante on Advisor Loans

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The independent broker-dealer LPL reported $2.3 billion in net advisor loans last year, up a whopping 53% from 2023, per an SEC filing.

1 min read

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