Securities and Exchange Commission

Advisor Upside

Record RIA Growth Is Great. Here’s the Catch

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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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Regulation

SEC Seeks to Rev Up ‘Engine of Growth’ by Loosening Corporate Disclosure Rules

SEC Chair Paul Atkins’s stance on financial regulation contrasts starkly with that of his predecessor, Gary Gensler.

2 min read

Markets

SPAC Comeback Draws Renewed Interest from Wall Street

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According to SPACInsider data, there have been 58 SPAC offerings so far this year, one more than the total in all of 2024.

2 min read

Advisor Upside

Cap Group, KKR Approved to Launch Public-Private Funds

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The new funds specifically target retail investors, a segment that could turn into a lucrative, untapped marketplace for the industry.

2 min read

Advisor Upside

Dual-Share Classes Are Coming. Why It Matters.

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More than 50 asset managers have asked the Securities and Exchange Commission for permission to create dual share classes of mutual funds.

3 min read

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Advisor Upside

Fidelity Wins First SEC Approval to Expand Semi-transparent ETF Holdings

Fidelity can include securities beyond US stocks in semi-transparent ETFs, per an SEC order, though it must disclose the added holdings daily.

2 min read
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Industries

Big Four Auditors Slash “Unacceptable” Deficiencies

A talent shortage, increasing regulatory scrutiny, and technological advancements are straining the accounting industry.

2 min read
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Finance

Fund Shops Are Pouncing on Vanguard’s ETF-Mutual Fund Structure

There are 53 fund shops asking permission from the SEC to tack on classes of mutual fund or ETF shares using a multi-share class structure.

5 min read

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