Securities and Exchange Commission

Advisor Upside

Why Vanguard Took a $106M SEC Fine For Lowering Its Minimums

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The SEC charged the asset manager with misleading clients over changes to its retirement funds, leading to higher tax bills for investors.

1 min read

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Advisor Upside

Schwab, Blackstone Among Firms Fined By SEC Over Off-Channel Comms

The controversial enforcement actions have been called a “cash cow” by Commissioner Hester Peirce.

2 min read
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Advisor Upside

Ads Featuring Burning Dollar Bills? UK Watchdog Says Nope

The UK Advertising Standards Authority said Wahed Invest can no longer run posters with flaming US and EU bills.

1 min read
Photo by St. Gallen Symposium via CC BY-SA 4.0

Advisor Upside

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

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

2 min read

Power Corridor

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

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

3 min read

Advisor Upside

Next SEC Chair? Bets Are on Peirce, Cuban, Or ‘CryptoDad’

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Securities and Exchange Commission Chairman Gary Gensler is likely to resign from his position at the agency before his term is up.

2 min read

ETFs

The Vanguard Patent Shaking Up the Fund Industry

Photo illustration by Connor Lin / The Daily Upside, Photo via Freepik

Nearly 50 years ago, Vanguard disrupted the investing world by launching the first index fund for individual investors. Now comes the sequel.

5 min read
Advisor Upside

Advisory Firms Say Thanks, But No Thanks to AI

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Artificial intelligence may be one of the fastest-growing tools in business, but don’t tell that to the compliance department.

2 min read
Advisor Upside

Robinhood Taps Into AI with Acquisition of Pluto Capital

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Artificial intelligence has graced us with a tech-heavy stock market, but it still remains dicey territory when it comes to investing.

2 min read

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