Fairview® Flash Reports - Fairview® Investment Services

Dec5, 2019

By the Numbers: SEC Division of Enforcement Publishes FY2019 Report

By Fairview®| 2019-12-05T22:10:46+05:00 Dec 5th, 2019|Enforcement, Fairview® Flash Reports, Registration, Disclosure and Filing Requirements, U.S. Securities and Exchange Commission|

By the Numbers: SEC Division of Enforcement Publishes FY2019 Report WHAT HAPPENED? Recently, the Division of Enforcement of the Securities and Exchange Commission released their annual report which includes [...]

Nov20, 2019

OCIE Releases List of Common Investment Company, Money Market Fund, and Target Date Fund Compliance Issues

By Fairview®| 2019-11-20T22:02:00+05:00 Nov 20th, 2019|Enforcement, Fairview® Flash Reports, Registration, Disclosure and Filing Requirements, U.S. Securities and Exchange Commission|

OCIE Releases List of Common Investment Company, Money Market Fund, and Target Date Fund Compliance Issues WHAT HAPPENED? On Nov. 7, 2019, the Office of Compliance Inspections and Examinations [...]

Nov7, 2019

IARD Annual Renewal Dates

By Fairview®| 2019-11-07T20:15:15+05:00 Nov 7th, 2019|Fairview® Flash Reports|

IARD Annual Renewal Dates WHAT IS COMING UP SOON? Every year at this time, FINRA will post its Renewal Statements in the IARD Portal. These fees are collected for [...]

Nov5, 2019

SEC Proposes Changes to Advertising and Solicitation Rules

By Fairview®| 2020-12-11T01:59:37+05:00 Nov 5th, 2019|Fairview® Flash Reports, Marketing and Social Media, Registration, Disclosure and Filing Requirements, Solicitation, U.S. Securities and Exchange Commission, Uncategorized|

SEC Proposes Changes to Advertising and Solicitation Rules WHAT HAPPENED? On Nov. 4, 2019, the Securities and Exchange Commission released proposed amendments intended to modernize the advertising and solicitation [...]

Oct24, 2019

SEC Adopts Rule Modernizing ETF Regulations

By Fairview®| 2019-10-24T20:09:16+05:00 Oct 24th, 2019|Fairview® Flash Reports, U.S. Securities and Exchange Commission|

SEC Adopts Rule Modernizing ETF Regulations WHAT HAPPENED? On Sept. 26, 2019, the Securities and Exchange Commission voted to adopt Rule 6c-11. The goal of the rule is to [...]

Oct10, 2019

Pair of Advisers Fined for Failing to Disclose Interest in Publicly Traded Company

By Fairview®| 2019-10-10T18:57:03+05:00 Oct 10th, 2019|Enforcement, Fairview® Flash Reports, Registration, Disclosure and Filing Requirements, U.S. Securities and Exchange Commission|

Pair of Advisers Fined for Failing to Disclose Interest in Publicly Traded Company WHAT HAPPENED? On Sept. 24, 2019, the Securities and Exchange Commission released information that a registered investment adviser, Strategic [...]

Oct1, 2019

Company Charged with Violating Regulation ATS After Releasing Confidential Information

By Fairview®| 2019-10-01T18:45:02+05:00 Oct 1st, 2019|Enforcement, Fairview® Flash Reports, Registration, Disclosure and Filing Requirements, U.S. Securities and Exchange Commission|

Company Charged with Violating Regulation ATS After Releasing Confidential Information WHAT HAPPENED? On Sept. 24, 2019, the Securities and Exchange Commission released information that TMC Bonds LLC, operator of [...]

Sep17, 2019

OCIE Releases List of Common Principal and Agency Cross Trading Compliance Issues

By Fairview®| 2019-09-17T21:38:59+05:00 Sep 17th, 2019|Enforcement, Fairview® Flash Reports, U.S. Securities and Exchange Commission, Uncategorized|

OCIE Releases List of Common Principal and Agency Cross Trading Compliance Issues WHAT HAPPENED? On Sept. 4, 2019, the Office of Compliance Inspections and Examinations of the Securities and [...]

Sep4, 2019

New SEC Guidance on Proxy Voting Process: What You Should Know

By Fairview®| 2019-09-04T21:01:51+05:00 Sep 4th, 2019|Fairview® Flash Reports, Proxy Voting, U.S. Securities and Exchange Commission|

New SEC Guidance on Proxy Voting Process: What You Should Know WHAT HAPPENED? On Aug. 21, 2019, the US Securities and Exchange Commission released guidance on the proxy voting [...]

Aug22, 2019

Alleged Cryptocurrency Scam Serves as Reminder of Digital Assets Risks

By Fairview®| 2019-08-22T23:10:14+05:00 Aug 22nd, 2019|Enforcement, Fairview® Flash Reports, Technology, U.S. Securities and Exchange Commission|

Alleged Cryptocurrency Scam Serves as Reminder of Digital Assets Risks WHAT HAPPENED? On Aug. 13, 2019, the Securities and Exchange Commission issued a press release regarding charges against Reginald [...]

Aug14, 2019

SEC Charges Investment Adviser and His 90-Year-Old Father with Breaching Fiduciary Duty After Taking Advantage of Elderly Client

By Fairview®| 2019-08-14T21:13:34+05:00 Aug 14th, 2019|Enforcement, Fairview® Flash Reports, U.S. Securities and Exchange Commission|

SEC Charges Investment Adviser and His 90-Year-Old Father with Breaching Fiduciary Duty After Taking Advantage of Elderly Client WHAT HAPPENED? On July 19, 2019, the US Securities and Exchange [...]

Aug2, 2019

Alaska Investment Adviser Ordered to Pay Over $400K in SEC Settlement

By Fairview®| 2019-08-02T19:05:15+05:00 Aug 2nd, 2019|Enforcement, Fairview® Flash Reports, Registration, Disclosure and Filing Requirements, U.S. Securities and Exchange Commission|

Alaska Investment Adviser Ordered to Pay Over $400K in SEC Settlement WHAT HAPPENED? On July 24, 2019, the US Securities and Exchange Commission released a settlement with an Alaska [...]

Jul25, 2019

OCIE Releases Findings After Examining Firms Employing Persons with Disciplinary Histories

By Fairview®| 2019-07-25T21:26:55+05:00 Jul 25th, 2019|Enforcement, Fairview® Flash Reports, Registration, Disclosure and Filing Requirements, U.S. Securities and Exchange Commission|

OCIE Releases Findings After Examining Firms Employing Persons with Disciplinary Histories WHAT HAPPENED? On July 23, 2019, the Office of Compliance Inspections and Examinations (OCIE) released a Risk Alert [...]

Jul18, 2019

How are Advisers Selected for an OCIE Exam?

By Fairview®| 2019-07-18T20:56:59+05:00 Jul 18th, 2019|AML, Enforcement, Fairview® Flash Reports, Privacy, Cybersecurity, and Regulation S-ID, Technology, U.S. Securities and Exchange Commission|

How are Advisers Selected for an OCIE Exam? WHAT HAPPENED? In Fiscal Year 2018, the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission examined nearly [...]

Jul10, 2019

SEC Accepts Public Comment on Private Securities Offering Exemptions

By Fairview®| 2019-07-10T20:56:46+05:00 Jul 10th, 2019|Fairview® Flash Reports, Private Equity Issues, U.S. Securities and Exchange Commission|

SEC Accepts Public Comment on Private Securities Offering Exemptions WHAT HAPPENED? Last month, the Securities and Exchange Commission released a request for public comment on how to improve the [...]

Jun26, 2019

Regulation Best Interest: What You Should Know

By Fairview®| 2019-06-26T20:56:33+05:00 Jun 26th, 2019|Fairview® Flash Reports, Registration, Disclosure and Filing Requirements, U.S. Securities and Exchange Commission, United States Department Of Labor|

Regulation Best Interest: What You Should Know WHAT HAPPENED? On June 5, 2019, the Securities and Exchange Commission adopted Regulation Best Interest (BI) which is intended to raise the [...]