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.

SEC Webinar: Adoption of Amended Regulation S-P

The SEC announced it will host a webinar regarding the adoption of Amended Regulation S-P for large firms on Sept. 25, 2025, at 1:00 pm ET. The webinar is part of a series of three events regarding the amendments. The other two events, for transfer agents and small firms, will be announced at a later date.

Read More

SEC Charges Investment Advisers and Representatives for Violating Testimonial Rule

The SEC settled proceedings against two registered investment advisers, three investment adviser representatives and a marketing consultant for distributing advertisements containing testimonials on the internet.

SEC Votes on Whistleblower Rule Amendments

The whistleblower program, established in 2010, was created to give individuals an incentive to report “high-quality tips” to the Commission. 

RIA Settles Charges of Multi-Million Dollar Scheme

A final consent judgment was entered against a Washington-based investment adviser (“Defendant”) after he misled more than 100 investors to invest in his funds by providing fraudulent information in breach of his fiduciary duty.

SEC Charges Advisory Firm with Conflict of Interest Fine

The SEC announced that an investment adviser agreed to pay $8 million in civil penalty fees for failing to disclose conflicts of interest to its advisory clients.

SEC Orders Cease-and-Desist to Registered Investment Adviser for Multiple Violations of the Advisers Act

On June 4th, 2018, the SEC released its order instituting administrative and cease-and-desist proceedings against a registered investment adviser (“Respondent”) found to be in multiple violations of the Advisers Act.

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 Charges Hedge Fund Adviser with Deceiving Investors by Inflating Fund Performance

The SEC announced its charges against a registered investment adviser for “inflating the value of private funds it advised by hundreds of millions of dollars.

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.

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. 

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 Topic

Filter by Category

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.

©2025 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