SEC

Advisor Upside

Supreme Court Upholds SEC’s Broad Disgorgement Powers

Photo by Jimmy Woo via Unsplash

The nation’s highest court agreed unanimously that the SEC doesn’t need to prove monetary harm to obtain disgorgement.

2 min read

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Advisor Upside

SEC Isn’t Ready to Bet on Prediction Market ETFs Just Yet

The agency has delayed dozens of filings and is currently seeking public comment.

2 min read
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Advisor Upside

SEC Wants Fewer Earnings Reports. Advisors Aren’t Sold

When data has become a more precious resource than oil, many wealth managers are wondering why they would want less.

2 min read
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ETF Upside

Investors Hungry for Private Markets in Their ETFs

Global investors are itching for access to unicorns in the convenient ETF wrapper.

2 min read

ETF Upside

Why Prediction-Market ETFs Got Stuck in an SEC ‘Rain Delay’

Several funds expected to launch this week are on hold after the agency asked for more information about the proposed products.

2 min read

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ETF Upside

Will Prediction-Market ETFs Launch This Week? Yes or No

Roundhill and GraniteShares indicated that they could soon launch funds making election bets.

2 min read
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Advisor Upside

SEC Grants Dual-Share-Class Approval to Two Dozen More Issuers

It’s going to be a while before ETF share classes of mutual funds are commonplace, but many asset managers now have regulatory approval.

2 min read
Photo illustration by Connor Lin / The Daily Upside, Photo by Klyaksun via iStock

Investing Strategies

How the ‘Domino Effect’ from a Wonky SEC Policy Shift May Ease Capital Gains Pain

An ETF makeover for mutual funds, enabled by the Securities and Exchange Commission, may cut taxes for millions and upend the funds biz.

5 min read

Advisor Upside

Congress Weighs Axing FINRA. But Is SEC Ready to Pick Up the Slack?

Moving those responsibilities into the SEC would raise practical questions about resources and capacity, experts say.

2 min read

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Advisor Upside

Why the SEC Dropped Its Cash Sweep Investigation into LPL

The Securities and Exchange Commission has entered into a deregulatory era.

2 min read
Photo via U.S. Securities and Exchange Commission

Advisor Upside

Caroline Crenshaw’s SEC Exit Leaves Behind an All-Republican Commission

2 min read
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ETF Upside

Dual Share Classes Are 2025’s Single Biggest ETF Development

Dozens of companies recently got approval from the SEC to add ETF share classes of mutual funds and vice versa, something they’ve waited years for.

2 min read

Advisor Upside

Meep, Meep: Ocean Park CIO James St. Aubin talks AI Bubble, Regulatory Shifts and Looney Tunes

Photo via Ocean Park Asset Management

Even if protecting clients from downside means giving up some upside, Ocean Park is willing to make the trade.

4 min read

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