Flash Reports | Page 26 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.

Citigroup Agrees to Pay $10.5 Million for Violating Books and Records Rule and Inadequate Internal Controls

From 2013 to 2016, the SEC found that three traders of Citigroup Global Markets Inc. The SEC released its charges against Citigroup for books and records violations, inadequate internal controls and poor trade administration.

SEC Proposed Regulation Best Interest: Its Impact on Broker-Dealers

The SEC voted on a proposal known as Regulation Best Interest, a set of rules and interpretations intended to improve the quality and transparency of investors’ relationships with investment advisers and broker-dealers while protecting access to a variety of investment relationships and products.

SEC Issues FAQs for Share Class Selection Disclosure Initiative

The SEC’s Division of Enforcement issued a list of 19 Frequently Asked Questions on the Share Class Selection Disclosure Initiative, going in-depth on adviser eligibility, disgorgement, and the distribution of funds to clients.

SEC Releases Proposal to Enhance Protections and Preserve Choice for Retail Investors

The SEC voted to propose a set of rules and interpretations intended to improve the quality and transparency of investors’ relationships with investment advisers and broker-dealers while protecting access to various investment relationships and products.

Flash Reports
19 Apr, 2018

The National Institute for Standards and Technology Updates Cybersecurity Framework

The National Institute for Standards and Technology (NIST) released an updated version of its Cybersecurity Framework, known as version 1.1.

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.

Fifth Circuit Court of Appeals’ Split Decision Vacates DOL Fiduciary Rule

On March 15th, the Fifth Circuit Court of Appeals vacated the DOL Fiduciary Rule, holding that the DOL surpassed its authority under the Employee Retirement Income Security Act.

Flash Reports
14 Mar, 2018

Bookkeeping Service Considered Custody, Leads to Enforcement

The SEC recently settled an enforcement action against Financial Fiduciaries, alleging that the adviser had custody of client assets through a “dual employee” who served in various outside business activities.

Flash Reports
09 Mar, 2018

SEC on-Pace to Examine 20% of Advisers

The steady increase in examination rates is due to an internal restructuring of resources that have allowed for approximately 100 staff members to be reassigned from broker-dealer and market oversight units to the investment advisors and investment companies division.

Flash Reports
28 Feb, 2018

SEC Announces Share Class Selection Disclosure Initiative

The SEC launched a self-reporting initiative to protect advisory clients from undisclosed conflicts of interest and return money to investors.