SEC

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

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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
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Advisor Upside

Who Gets to Call Themselves ‘Advisor?’

The North American Securities Administrators Association updated a rule that seeks to bar many broker-dealer reps from using the title.

2 min read
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Blockchain

Circle Plans IPO as Stablecoins Flex Market Muscle

Circle could debut on the NYSE as soon as next month and is eyeing a valuation of up to $5 billion — a $4 billion drop from its SPAC era.

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

Advisor Upside

SEC Could Hit Ground Running on Crypto, Private Equity, ESG

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Mark Uyeda will serve as interim Securities and Exchange Commission Chair, while Paul Atkins awaits confirmation.

2 min read

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