SEC

Banking

New York State Comptroller Says Wall Street Profits Could Top $90 Billion by the End of the Year

Photo via JOHN ANGELILLO/UPI/Newscom

While nearly all revenue lines increased, underwriting activities, account supervision and commissions were particularly strong.

2 min read

Photo by Getty Images via Unsplash

Advisor Upside

SEC Lets Cboe List 3x Products

2 min read
Photo via Graeme Sloan/Sipa USA/Newscom

Advisor Upside

Private Ayes: SEC Votes Yes on Proposals to Expand Retail Access

The agency is proposing to allow performance-based compensation, to make interval funds more accessible and to change accredited investor standards.

2 min read
Photo via LENIN NOLLY/SIPA/Newscom

ETF Upside

With Hester Peirce’s SEC Exit, Crypto Industry Loses an Ally

The commissioner pushed for a less heavy-handed approach to regulation.

2 min read

ETF Upside

SEC Gives a Nod to Nocturnal Traders

Photo by Dmitrii Zhodzishskii via Unsplash

The commission moved to allow 24/7 trading of stocks on the blockchain. Tokenization may be increasingly important, executives said at last week’s Future Proof conference.

2 min read

Artificial Intelligence

Will Doomsayers Derail Anthropic’s Mega IPO?

Photo via Vincent Isore/ZUMAPRESS/Newscom

Anthropic’s S-1 filing with the SEC is expected to be released publicly in the coming days or weeks, and it will likely face new scrutiny.

2 min read

Photo via Dimensional Fund Advisors

Advisor Upside

Dimensional’s David Booth Discusses the State of ETFs, Investing and More

The asset management industry has come a long way since Dimensional Fund Advisors was founded by a small team of academics at the University of Chicago.

4 min read
Paul Atkins, Chairman of the U.S. Securities and Exchange Commission. Photo via Michael Brochstein/Sipa USA/Newscom.

Advisor Upside

What’s Behind the SEC’s New Crypto Proposal?

The rules aim to provide a clear framework for certain investment contracts involving crypto assets.

1 min read
Photo via Connor Lin / The Daily Upside

Advisor Upside

Vanguard’s New Custom Model Portfolios Hope to Prove One Size Doesn’t Fit All

Vanguard will now let advisors tailor certain models to their specific values and tax preferences.

1 min read

Advisor Upside

The SEC’s Proposed Semi-Annual Reports Could Hide Negative Earnings

Photo by Getty Images via Unsplash

Bad quarters would be masked by positive semi-annual reports at twice the rate as good quarters, according to a Bloomberg report.

2 min read

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