Securities and Exchange Commission

Finance

Blackstone Gets Green Light for New Private Credit Fund, Raises $8 Billion for Real Estate Debt Fund

Photo via Roman Tiraspolsky

Blackstone’s new fund is one of several efforts aimed at cracking the private credit door open to retail investors.

2 min read

Photo by Kaboompics.com via Pexels

Advisor Upside

NASAA’s Proposal to Limit ‘Advisor’ Title Faces Pushback

Groups like LPL Financial and SIFMA say the rule conflicts with the Regulation Best Interest framework.

1 min read
Photo by Krblokhin via iStock

Advisor Upside

Why Vanguard Took a $106M SEC Fine For Lowering Its Minimums

The SEC charged the asset manager with misleading clients over changes to its retirement funds, leading to higher tax bills for investors.

1 min read
Photo by Amanz via Unsplash

Advisor Upside

Schwab, Blackstone Among Firms Fined By SEC Over Off-Channel Comms

The controversial enforcement actions have been called a “cash cow” by Commissioner Hester Peirce.

2 min read

Advisor Upside

Ads Featuring Burning Dollar Bills? UK Watchdog Says Nope

Photo by Jp Valery via Unsplash

The UK Advertising Standards Authority said Wahed Invest can no longer run posters with flaming US and EU bills.

1 min read

Advisor Upside

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

Photo by JHVEPhoto via iStock

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

Behind the SEC’s WhatsApp Crackdown

Photo by Mika Baumeister via Unsplash

The SEC has dished out more than $3 billion in fines regarding off-channel communications, with another 11 firms getting dinged this week.

2 min read

Photo by Hapabapa via iStock

Advisor Upside

SEC Smartphone Location Data Could Be Linked to Share Prices

Phone location data links Securities and Exchange Commission visits to corporate offices with drops in company share prices.

1 min read
Photo by Anton via Pexels

Advisor Upside

SEC Sends Message Over Off-Channel Communications

Advisory firms are having to pay hefty fines if they get caught discussing business matters on personal devices.

1 min read
Photo illustration by Connor Lin / The Daily Upside, Photo via Freepik

ETFs

The Vanguard Patent Shaking Up the Fund Industry

Nearly 50 years ago, Vanguard disrupted the investing world by launching the first index fund for individual investors. Now comes the sequel.

5 min read

Sign Up for The Daily Upside to Unlock This Article

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