SEC

Advisor Upside

Who Gets to Call Themselves ‘Advisor?’

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The North American Securities Administrators Association updated a rule that seeks to bar many broker-dealer reps from using the title.

2 min read

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Blockchain

Circle Plans IPO as Stablecoins Flex Market Muscle

Circle could debut on the NYSE as soon as next month and is eyeing a valuation of up to $5 billion — a $4 billion drop from its SPAC era.

2 min read
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Advisor Upside

Vanguard Pushes Ahead with Another Active ETF

The firm is nearing a dozen actively managed exchange-traded funds in its lineup.

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

Advisor Upside

The SEC’s Bizarre Letter to State Street About PRIV

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The agency asked pointed questions about the new exchange-traded fund just hours after its launch last week.

2 min read

Advisor Upside

Advisors in SEC Crosshairs After First Enforcement Action

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The agency’s first settlement suggests that it may have shifted focus squarely onto investment advisors.

2 min read

Advisor Upside

What Trump’s SEC Chair Pick Paul Atkins Means for Crypto

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Atkins’ nomination is a breath of fresh air for the crypto crowd, who felt Gensler dragged his feet on policy.

2 min read

Photo illustration by Connor Lin / The Daily Upside

Power Corridor

America’s in a Crypto State of Mind for Trump’s Second Term

With Donald Trump set to return to the White House, the crypto industry has transformed into a major DC power player.

3 min read
Photo illustration by Connor Lin / The Daily Upside, Photos by Gzorgz and iLexx via iStock

Industry News

AI Won’t Replace Advisors. But It Will Transform the Industry.

AI won’t treat us to a round of golf to discuss investment strategies. But the technology is already a game changer for financial advisors

5 min read
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Advisor Upside

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

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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