Flash Reports | Page 2 of 41 | Fairview Investments

News & Insights: Flash Reports

More than just the facts, Flash Reports provide context for what’s currently happening in the industry and translate that into what it means for your business.

Flash Reports
03 Sep, 2026

2026 Fall Filing Preview

Fall filing season is here — and between Form PF, 13F, 13G, and three federal holidays, Q4 can get crowded. Here's your at-a-glance guide to what's due and when, so nothing catches your team off guard.

Anti-Money Laundering (AML)
07 Jan, 2026

AML/CFT Rule Delayed to 2028: What This Means for Your Compliance Timeline

The Treasury Department’s Financial Crimes Enforcement Network (“FinCEN”) issued a final rulemaking to extend the effective date of the AML/CFT Rule until January 1, 2028.

CFTC No-Action Relief: Do Private Fund Managers Still Need CPO Registration?

On December 19, 2025, the Commodity Futures Trading Commission’s Market Participants Division (“MPD”) announced a no-action letter stating the MPD will not recommend the CFTC initiate an enforcement action against firms registered as investment advisers with the SEC, who operate commodity pools privately offered solely to sophisticated investors known as qualified eligible persons (“QEPs”), for failing to register as a commodity pool operator, subject to certain conditions.

SEC Risk Alert: Common Marketing Rule Violations in Testimonials and Ratings

the SEC Division of Examinations published the first risk alert of 2025. The risk alert provides additional information on compliance with the Marketing Rule.

Form SHO Deadline Approaches: Will It Be Delayed Again?

The first Form SHO filing was set to be due on Valentine’s Day 2025, but the SEC pushed back the deadline to February 17, 2026. Now, as large entities finalize Reg S-P preparations, and as all compliance programs complete annual IARD renewals, the question for 2026 is: will Form SHO be delayed again?

SEC’s 2026 Exam Priorities: What Areas Will Examiners Focus On

On November 17, 2025, the SEC’s Division of Examinations (“EXAMS”) published its 2026 Examination Priorities. The SEC’s fiscal year runs from October 1st to September 30th, and these annual priorities highlight practices and products viewed by EXAMS as presenting heightened risks to investors and the markets overall.

IARD Annual Renewal Statements Are Live: What to Check Before Paying

Despite the government shutdown, IARD renewal deadlines are live, and renewal payments are still due.

Flash Reports
22 Oct, 2025

2026 IARD Renewal Reminder: Fees and Deadlines to Know

Every year at this time, Renewal Statements for advisers are posted in the IARD Portal. These fees are collected for system processing and jurisdiction-related renewals.

Form PF Amendments Delayed Again to October 2026: What Fund Managers Should Know

On September 17, 2025, The Securities and Exchange Commission (“SEC”), jointly with the Commodity Futures Trading Commission (“CFTC”), voted to extend the compliance date for the amendments to Form PF again.

SEC Marketing Rule & Recordkeeping Fine: What Triggered the $75,000 Penalty

On September 4, 2025, the SEC issued an administrative order (“the order”) against a registered investment adviser (“RIA”) for compliance violations related to the Marketing Rule and the Books and Records Rule, among others. The RIA agreed to pay $75,000 in civil penalties for the violations.

Artificial Intelligence
02 Sep, 2025

Employees Are Pasting Client Data into AI Tools: Does Your Firm Have a Policy?

According to a recent survey, 78% of employees are already using AI tools at work, even when their companies haven’t set clear policies.