News & Insights: Adam Barnard

Adam oversees the firm’s Financial Reporting and Testing and Data Management Group, which supports the Compliance Administration group with data-related, centralized testing and preparation of required SEC filings including those required under Section 13 of the Securities Exchange Act of 1934.

Misleading Investor Newsletters: Firm Principal Charged by SEC for Omitting Facts

Recently fined adviser should have presented a more transparent review of failing portfolio companies in investor newsletters.

Compliance Considerations for RIAs and BDs Trading Digital Asset Securities

Digital assets continue to be a hot topic among regulators as these securities gain momentum in the marketplace.

Large Trader Compliance Risks For Investment Advisers and Broker-Dealers

Securities and Exchange Commission finds some large traders not even aware of Rule 13H or its requirements.

SEC Restores Investigative Powers for Senior Enforcement Staff

The Acting Chair of the U.S. SEC, Allison Herren Lee, announced that the regulator has granted investigative powers to the enforcement division.

Who is Gary Gensler? What New SEC Leadership Could Mean for Investment Advisers

President Biden recently named Gary Gensler as his pick to be the new chairman of the Securities and Exchange Commission.

SEC Proposes Changes to Form 13F

Proposed amendments to Form 13F reporting. The changes would affect the filing threshold for institutional advisers and several other requirements.

SEC Proposes Changes to Forms N-Port and N-1A Concerning Liquidity Disclosures

The SEC’s Proposing Release identifies three areas for potential revision to improve the current reporting and disclosure requirements of liquidity information by registered open-end investment firms.

Click below to view General Filing Deadlines and SEC Holidays

Regulatory Calendar

Stay up to date on the latest industry news and resources.

Filter by Category

Filter by Topic

Fairview

Fairview has been providing streamlined solutions to providers in the financial services industry since 2005. We are part of ViewPoint Partners, our employee-owned parent company for both Fairview and FilePoint, which provides regulatory reporting solutions for registered investment companies.

©2024 Fairview® Investment Services, LLC. All rights reserved.

1330 St. Mary’s St.
Suite 400
Raleigh, NC 27605

info@fairviewinvest.com
919.706.4100
FAX: 800.770.9925