Securities and Exchange Commission

Advisor Upside

Advisors Scrutinize Bill to Ease Rules for Accredited Investors

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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
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Markets

SPAC Comeback Draws Renewed Interest from Wall Street

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
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ETF Upside

Fidelity, Franklin Prep Solana ETFs with Staking

The SEC has warmed up to crypto ETFs and staking, but whether it will approve both in the same package is a question.

1 min read

ETF Upside

SEC ‘Housecleaning’ Collides with Shifting Regulatory Priorities

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The SEC may walk back accredited investor standards and press forward on crypto regulation with a much smaller staff.

2 min read

ETF Upside

SEC Inches Closer to Dual-Share-Class Approval

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The agency is telling issuers to base their dual-share-class applications on one from Dimensional Fund Advisors.

2 min read

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OP-ED | Advisor Upside

Bonds Get a Bad Wrap. But They Thrived During Their ‘Great Depression’ of 2022.

Previous bond declines mean clients can now earn an expected return above inflation.

4 min read
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Advisor Upside

Dual-Share Classes Are Coming. Why It Matters.

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

Industries

Big Four Auditors Slash “Unacceptable” Deficiencies

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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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Advisor Upside

SEC Eases Rules on Marketing

For the second time in two weeks, the agency made clear that funds have more marketing leeway to solicit clients.

2 min read
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Finance

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

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

2 min read

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