Flash Reports | Page 24 of 28 | 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.

Flash Reports
03 Jan, 2020

Proposed Changes to Accredited Investor Definition

The SEC proposed changes to the definition of an “accredited investor.” Until this point, the accredited investor definition has been limited to evaluating only an individual’s income or net worth. With the proposed changes, the Commission hopes to increase access to investments in private capital markets.

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

OCIE released a Risk Alert outlining common compliance observations among investment companies, money market funds, and target date funds. The alert outlines general weaknesses and deficiencies that OCIE staff noticed during recent examinations.

Flash Reports
05 Nov, 2019

SEC Proposes Changes to Advertising and Solicitation Rules

On Nov. 4, 2019, the Securities and Exchange Commission released proposed amendments intended to modernize the advertising and solicitation rules under the Investment Advisers Act.

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

The SEC released information that a registered investment adviser, Strategic Planning Group, and its principals, David Rourke and Jarrod Sherman, were charged for failing to disclose conflicts of interest to clients and on Form ADV.

Flash Reports
01 Oct, 2019

Company Charged with Violating Regulation ATS After Releasing Confidential Information

The SEC released information that TMC Bonds LLC, operator of an alternative trading system (ATS), will pay $2.1 million after being charged for failing to protect confidential information in violation of Regulation ATS.

Flash Reports
22 Aug, 2019

Alleged Cryptocurrency Scam Serves as Reminder of Digital Assets Risks

The SEC issued a press release regarding charges against Reginald “Reggie” Middleton and his two companies. The complaint, alleges that Middleton and his companies knowingly defrauded customers through the trade of a cryptocurrency called VERI tokens.

Flash Reports
15 Aug, 2019

Enabling Firms to Present Pooled Fund Specific Performance

With the 2020 edition of the GIPS®, firms are now able to present pooled fund specific performance. The changes pertaining to pooled funds were made to better accommodate the marketing of pooled funds.

Flash Reports
02 Aug, 2019

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

The SEC released a settlement with an Alaska investment adviser, which was penalized for its failure to properly disclose compensation conflicts to clients.

Ability to Once Again Allocate Cash to Carve-Outs

Before January 1, 2010, firms were allowed to include carve-outs with allocated cash in composites. This provision limited many firms’ ability to market potential strategies and/or attain compliance with the GIPS standards due to system limitations.

Flash Reports
18 Jul, 2019

How are Advisers Selected for an OCIE Exam?

The reasons OCIE may select an adviser for examination are various and shifting, depending on commonly identified risk factors and changes in regulation. The SEC takes steps to be transparent about which conditions may cause an adviser to be selected for examination.