SEC

Advisor Upside

The SEC’s Bizarre Letter to State Street About PRIV

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The agency asked pointed questions about the new exchange-traded fund just hours after its launch last week.

2 min read

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Advisor Upside

Advisors’ Crypto Concerns Return After Record $1.5B Heist

The Bybit cyberattack is dredging up familiar questions about the suitability of digital assets inside client portfolios.

2 min read
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Advisor Upside

Brokerages Up the Ante on Advisor Loans

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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Cryptocurrency

Bitcoin and Other Cryptos Slip on Risk-Averse Vibes

The main culprit: Risk-on investments are being hit hard by macroeconomic concerns after President Donald Trump doubled down on tariff plans.

1 min read

Advisor Upside

Advisors in SEC Crosshairs After First Enforcement Action

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The agency’s first settlement suggests that it may have shifted focus squarely onto investment advisors.

2 min read

Advisor Upside

What Trump’s SEC Chair Pick Paul Atkins Means for Crypto

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Atkins’ nomination is a breath of fresh air for the crypto crowd, who felt Gensler dragged his feet on policy.

2 min read

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Power Corridor

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

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

3 min read
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Industry News

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

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
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Advisor Upside

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

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

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

1 min read

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