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Preparing for changes to the registered fund marketplace
The SEC approved Dimensional Fund Advisors to offer dual-class funds, allowing open-end funds to have both ETF and mutual fund share classes.
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Speeches in 2025 express exuberance for change and concern over same
Speakers emphasized technology‑neutral and principles‑based regulation, teased on new policies to come, or raised red flags.
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A Valerie Mirko walks us through the RIA and BD year in review
Mirko also touched on public company and crypto matters, saying the agencies will still focus on investor harm but emphasize useful disclosure, welcoming innovation and bolstering the private markets.
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Sixth SEC crypto roundtable addresses surveillance and privacy tech
Statements by SEC commissioners indicated that maintaining privacy in financial affairs is a critical agency goal, and that individuals should be free to use privacy tools without triggering heightened scrutiny.
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Inside the SEC’s closing debate of 2025
The SEC’s final Investor Advisory Committee meeting of the year offered an unusually clear window into the philosophical divides shaping American securities regulation.
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SEC steps back from proxy reviews as pressure mounts on activist voting
Regulator cites resource and timing considerations as reason for change.
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SEC’s off-channel comms crackdown eases, compliance professionals say
A Citywire report says that RIAs are reporting softer exams on texts and messaging apps, but compliance teams are not letting their guards down.
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SEC refines digital asset approach with Project Crypto
US SEC’s Paul Atkins lays out a cryptocurrency taxonomy framework.