Securities and Exchange Commission

Advisor Upside

SEC Halts Filings of Highly Leveraged ETFs

Photo by ablokhin via iStock

1 min read

Photo via DPST/Newscom

ETF Upside

Copycat ETFs Are Everywhere. Should Issuers Worry?

So-called copycat filings are picking up, but whether they’re a problem remains up for debate.

4 min read
Photo by City Dweller via CC BY-SA 4.0

ETF Upside

What Dimensional’s Dual-Share-Class Approval Means for Advisors

This week’s SEC decision may be one of the most significant since the ETF Rule in 2019.

2 min read
Photo by NASA via Unsplash

ETF Upside

Dual Share Classes Are Here, But There’s an ‘Apollo 13’ Problem

Trading fractional shares for whole shares will require some communication and help, according to one firm that offers shareholder services.

2 min read

Advisor Upside

Should the SEC Ease the Communications Rule?

Photo by Nathan Dumlao via Unsplash

SIFMA called the current regulations burdensome, costly and unnecessary.

2 min read

Finance

Investors Have a Question About SEC’s Policy Shift on Arbitration: Cui Bono?

Photo via Tom Williams/CQ Roll Call/Newscom

Class-action securities settlements in 88 cases totaled about $3.7 billion in 2024, according to data collected by Cornerstone Research.

2 min read

ETF Upside

Former Military Court Judge to Lead SEC Enforcement

Margaret Ryan. Photo via Harvard Law School.

Meg Ryan, a lecturer at Harvard with a background in military law, will take over next month as director of the SEC Division of Enforcement.

2 min read

Photo by DrawKit Illustrations via Unsplash

ETF Upside

Liquid Staking Crypto Isn’t a Securities Issue, SEC Says

The agency declared it is hands-off for liquid staking in some cases, which could eventually help crypto ETFs benefit from proof-of-stake.

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

ETF Upside

SEC, Congress Want Regulations to Oversee AI Experiments

Financial services firms could test uses for AI in “regulatory sandboxes,” according to legislation introduced last week.

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

ETF Upside

SEC Is Now All In On Crypto. What’s Next?

The agency approved in-kind redemptions for spot Bitcoin and Ethereum ETFs last week, but the move may just the beginning for Atkins’ SEC.

2 min read

Sign Up for The Daily Upside to Unlock This Article

Sharp news & analysis on finance, economics, and investing.