Securities and Exchange Commission

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

Advisor Upside

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

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

1 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

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