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Tuesday, October 27, 2026 · Today’s edition, 6:30 a.m. ETTue, Oct 27 · 6:30 a.m. editionSign inMy Desk 0EditionsSign in
Private Wealth Daily
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SEC

In network coverage since October 9, 2026 · 16+ stories
1Deals on our tracker
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Oct 1, 26Fund launchCboe BZX · Volatility Shares — coverage
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RIA

SEC approves fourth projections exception to FINRA Rule 2210

Its conditions track the SEC Marketing Rule, and use is limited to investors able to evaluate projections.
The Advisor's Note · Oct 24SEC clears Finra rule letting broker-dealers market projected returns
Manager Selection · Oct 23SEC seeks $3M penalty on ex-Western Asset CIO Ken Leech
The Allocation · Oct 23SEC proposes performance fees for regulated fund advisers
Distribution · Oct 23Private-credit exit requests near $16B as managers court advisers
The Advisor's Note · Oct 22Beacon Pointe to buy $1B WorthPointe without founder Van Slyke
The Wrap · Oct 22Vault12 says SEC token safe harbor keeps VGT off exchanges
Practice management · Oct 21Kevin Harnisch: SEC off-channel focus moving from sweeps to exams; Finra still scrutinizes
Distribution · Oct 16SEC approves FINRA Rule 2210 change letting broker-dealers cite projected returns
Adoption · Oct 15CoinDesk newsletter: CLARITY Act failed 49-50 as crypto firms build state-by-state compliance
The Wrap · Oct 15Perpetuals.com files with SEC to run tokenized US stock venue
Regulation · Oct 15SEC clears listing rule for six 3x Volatility Shares products
Regulation · Oct 13Nasdaq and NYSE file ETP trading-halt rule changes effective on filing
The Wrap · Oct 12CFTC interim swap-definition rule takes effect immediately; event contracts face 30-day comment
Liquidity · Oct 9SEC cross-trading proposal restores Level 2 fixed income, excludes Level 3 assets
Products & portfolios · Oct 9SEC proposes expanding cross trading by registered funds
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