SEC | Fairview Investments

News & Insights: SEC

SEC
20 Jul, 2026
Jeremy McCamic

SEC's New E-Delivery Rule: What RIAs Need to Know About Electronic Disclosure Delivery

On July 16, 2026, the SEC proposed Regulation E-Delivery (“Reg E-Delivery”), a new rule that would establish a comprehensive framework permitting, but not requiring, electronic delivery (“e-delivery”) as the default method for providing required disclosures and reports under the federal securities laws.

Risk Alert
16 Sep, 2026
Jeremy McCamic

SEC Risk Alert: 5 Annual Compliance Review Deficiencies Investment Advisers May Need to Fix

On September 14, 2026, the SEC Division of Examinations published a Risk Alert on observations of investment advisers’ annual compliance reviews. Although registered investment advisers have had to conduct annual compliance reviews for over twenty years, the SEC observed a number of deficiencies that investment advisers should consider as they complete these reviews.

SEC
04 Sep, 2026
Jeremy McCamic

SEC Proposes Ending The Pay to Play Rule

On Sept. 3, 2026, the SEC proposed rescinding the Pay to Play rule, which restricts advisers from political contributions before advising government clients.

SEC
19 Aug, 2026
Cameron Leazer

What the SEC’s Proposed Crypto Asset Rules Mean for RIAs and Fund Managers

On August 18, 2026, the SEC proposed “Regulation Crypto Assets,” a new regulatory framework for certain investment contracts involving crypto assets (“covered investment contracts”). The proposal follows the SEC’s March 2026 interpretive release addressing the application of federal securities laws to certain crypto assets and transactions, and represents another step in the SEC’s broader effort to establish clearer rules for crypto asset markets.

SEC
13 Aug, 2026

FinCEN Ends Beneficial Ownership Reporting: Do You Still Need to File?

On August 11, 2026, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (“FinCEN”) issued a final rule that permanently removes all requirements for U.S. companies and individuals to report beneficial ownership information under the Corporate Transparency Act (“CTA”).

SEC
07 Aug, 2026
Cameron Leazer

SEC Fee Calculation Enforcement Case: Lessons for Your Advisory Agreements

On July 31, 2026, the SEC settled charges against a New York-based registered investment adviser for calculating and charging advisory fees inconsistently with its advisory agreements and Form ADV Part 2A disclosures and for failing to implement written policies and procedures designed to ensure advisory fees were calculated correctly.

SEC
06 Aug, 2026

SEC Creates New Accounting Fraud Unit: What It Signals for Your Compliance Program

On August 5, 2026, the SEC announced it is establishing a new specialized unit within the Division of Enforcement that is focused on financial reporting fraud cases as well as misconduct in the areas of accounting and auditing.

SEC
20 Jul, 2026
Jeremy McCamic

SEC’s New E-Delivery Rule: What RIAs Need to Know About Electronic Disclosure Delivery

SEC
16 Jul, 2026

SEC Settlement Over Undisclosed Conflicts: What It Means for Your IARs

On July 13, 2026, the SEC announced settled charges against a former registered investment adviser representative (“IAR”) for failing to adequately disclose conflicts of interest in connection with advisory clients’ investments.

SEC
09 Jul, 2026

SEC’s New Retail Fraud Working Group: What Advisers Should Expect

On July 7, 2026, the SEC announced the creation of the Retail Fraud Working Group designed to strengthen the Division of Enforcement’s efforts to identify and combat fraud targeting everyday investors. The group will focus on identifying offering frauds, pump-and-dump schemes, market manipulation, and breaches of duties to customers by investment advisers and broker dealers.

CyberSecurity
07 Jul, 2026

SEC Request Letter Could Signal Reg S-P Sweep

A recent SEC document request letter could be indicative of a long-predicted sweep of firms for the SEC to evaluate compliance with Amended Regulation S-P, according to at least one news outlet. Thirty items gleaned from a new SEC document request letter focus on cybersecurity protections and breaches.