Securities and Exchange Commission

Advisor Upside

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

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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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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

Finance

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

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

2 min read

Advisor Upside

Ads Featuring Burning Dollar Bills? UK Watchdog Says Nope

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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?

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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

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