Securities and Exchange Commission

ETF Upside

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

Photo by NASA via Unsplash

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

2 min read

Photo by Nathan Dumlao via Unsplash

Advisor Upside

Should the SEC Ease the Communications Rule?

SIFMA called the current regulations burdensome, costly and unnecessary.

2 min read
Photo by Ben Iwara via Unsplash

ETF Upside

Betting Big on Leveraged ETFs

Even with the lights out at the SEC, it’s unlikely that ETF issuers seeking 3x and 5x funds will sail through the approval process.

2 min read
Photo by Sumaid pal Singh Bakshi via Unsplash

Advisor Upside

The Next AI Gold Rush May Be Compliance

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

2 min read

ETF Upside

ETF Filings on Hold Amid Government Shutdown

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

2 min read

Blockchain

Winklevoss Twins Seek $2.2 Billion Valuation for Gemini IPO

Photo via GDA Photo Service/Newscom

The pair invested early in bitcoin, becoming some of the world’s first bitcoin billionaires and launching Gemini in 2014.

2 min read

Margaret Ryan. Photo via Harvard Law School.

ETF Upside

Former Military Court Judge to Lead SEC Enforcement

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

ETF Upside

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

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

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

Photo by Krblokhin via iStock

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
Photo by Krblokhin via iStock

ETF Upside

Why the SEC Delayed In-Kind Redemptions for Crypto ETFs

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

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