SEC

Power Corridor

America’s in a Crypto State of Mind for Trump’s Second Term

Photo illustration by Connor Lin / The Daily Upside

With Donald Trump set to return to the White House, the crypto industry has transformed into a major DC power player.

3 min read
Industry News

AI Won’t Replace Advisors. But It Will Transform the Industry.

Photo illustration by Connor Lin / The Daily Upside, Photos by Gzorgz and iLexx via iStock

AI won’t treat us to a round of golf to discuss investment strategies. But the technology is already a game changer for financial advisors

5 min read
Advisor Upside

Can ETFs Break Into the $7.4T 401(k) Industry?

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More than 30 asset managers are asking regulators for permission to offer mutual fund share classes that can fit into retirement accounts.

2 min read
Advisor Upside

SEC Fines Robo-Advisor for Athlete Endorsement Violations

Photo by Airotcivss via CC BY-SA 4.0

The Shariah-compliant robo-advisor Wahed Invest allegedly violated advertising rules and agreed to a $250,000 fine.

1 min read
Advisor Upside

Next SEC Chair? Bets Are on Peirce, Cuban, Or ‘CryptoDad’

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Securities and Exchange Commission Chairman Gary Gensler is likely to resign from his position at the agency before his term is up.

2 min read
Advisor Upside

New ETF Taps Record Interest in Money Market Funds

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Texas Capital’s MMKT will look to capture inflows into the $6.4 trillion money market industry.

2 min read
Advisor Upside

Behind the SEC’s WhatsApp Crackdown

Photo by Mika Baumeister via Unsplash

The SEC has dished out more than $3 billion in fines regarding off-channel communications, with another 11 firms getting dinged this week.

2 min read
Advisor Upside

SEC Smartphone Location Data Could Be Linked to Share Prices

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Phone location data links Securities and Exchange Commission visits to corporate offices with drops in company share prices.

1 min read
Markets

Stock Prices in Half-Pennies Are in Your Future

Photo by Vlada Karpovich via Pexels

The SEC voted unanimously to change market rules so that roughly 1,700 securities can be quoted in increments of $0.005.

1 min read
Advisor Upside

Franklin Templeton, TD Bank in Regulators’ Crosshairs

Photo by Phillip Pessar via CC BY 2.0

Regulators are intensifying their focus on two financial institutions with the potential for fines stretching into the billions of dollars.

2 min read