Securities and Exchange Commission

Advisor Upside

The Next AI Gold Rush May Be Compliance

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AI notetakers have been all the rage. Experts think compliance may be up next.

2 min read

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ETF Upside

ETF Filings on Hold Amid Government Shutdown

The SEC halted operations last week amid the federal government shutdown, pausing dozens of ETF applications.

2 min read
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Finance

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

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

2 min read
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ETF Upside

SEC Turbocharges Crypto ETP Approvals

Generic listing standards for crypto exchange-traded products could open the floodgates for ETPs beyond spot Bitcoin and Ethereum.

2 min read

ETF Upside

New Spot Crypto Products? Regulators Say Bring It On

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The SEC and CFTC recently issued a rare joint statement encouraging applications for new spot crypto products.

2 min read

ETF Upside

SEC, Congress Want Regulations to Oversee AI Experiments

Photo via Graeme Sloan/Sipa USA/Newscom

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
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ETF Upside

Crypto ETFs Get Major Relief From SEC

Bitcoin, Ether and other crypto ETFs are no longer limited to cash transactions — they can use in-kind creation and redemption.

2 min read
Photo illustration by Connor Lin / The Daily Upside, Photos by Hammad Khan via iStock and Chris Kleponis/ZUMAPRESS/Newscom

Blockchain

Stablecoins Are Here to Stay. Who Stands to Gain From Them?

Companies that have been waiting on the crypto sidelines are likely about to jump in the game following the passage of the GENIUS Act.

4 min read

ETF Upside

Why the SEC Delayed In-Kind Redemptions for Crypto ETFs

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It may be only a matter of time before the Securities and Exchange Commission lets crypto ETFs redeem their digital assets in kind.

2 min read

Photo illustration by Connor Lin / The Daily Upside, Photos by Andrey Popov via iStock

Advisor Upside

Record RIA Growth Is Great. Here’s the Catch

Investment Adviser Industry report shows where and how the advice industry is evolving.

4 min read
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ETF Upside

What’s Inside the SEC’s Latest Crypto ETF Guidance

The agency’s new guidelines focus on disclosures around price fluctuations and market manipulation, among other common concerns.

2 min read
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Advisor Upside

Advisors Scrutinize Bill to Ease Rules for Accredited Investors

The proposal is designed to give a larger swath of investors access to private offerings.

2 min read

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