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Home/Fairview Flash Reports
Fairview Flash Reports 2017-07-11T18:28:06+00:00
May17, 2017

SEC Amends Form ADV Part 1A and the Advisers Act

By | May 17th, 2017|Books and Records, Fairview Flash Reports, Marketing and Social Media, Mutual Fund and Institutional Issues, Private Equity Issues, Registration, Disclosure and Filing Requirements, U.S. Securities and Exchange Commission|

SEC Amends Form ADV Part 1A and the Advisers Act WHAT HAPPENED? The SEC adopted amendments to Part 1A of Form ADV and the Investment Advisers Act of 1940 (the [...]

May15, 2017

SEC Takes Strict Stance on General Solicitations of Certain Regulation D Offerings

By | May 15th, 2017|Enforcement, Fairview Flash Reports, Registration, Disclosure and Filing Requirements, Solicitation, U.S. Securities and Exchange Commission|

SEC Takes Strict Stance on General Solicitations of Certain Regulation D Offerings WHAT HAPPENED? In a review of a FINRA disciplinary action, the SEC affirmed its zero-tolerance policy for general solicitations [...]

Apr12, 2017

CCO Charged with Inadequate Form ADV Disclosures

By | Apr 12th, 2017|Books and Records, Enforcement, Fairview Flash Reports, Mutual Fund and Institutional Issues, Registration, Disclosure and Filing Requirements, U.S. Securities and Exchange Commission|

CCO Charged with Inadequate Form ADV Disclosures WHAT HAPPENED? On March 29, 2017, the SEC charged the dually-acting principal and Chief Compliance Officer of Alison, LLC, with failing to provide specific books [...]