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News & Insights: SEC

SEC
20 Jul, 2026
Jeremy McCamic

SEC Proposes New Electronic Delivery Framework for Required Investor Communications

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.

SEC Examination Requests Regarding E-signatures

SEC’s Division of Exams staff have been requesting information on advisers’ use of electronic signatures. Find out what you need to know.

SEC Proposes to Enhance Disclosures About ESG Investment Practices

The SEC proposed to enhance disclosures about ESG investment practices. If you have questions about ESG and your compliance program, Fairview can help.

SEC’s ESG Taskforce Fines Investment Adviser $1.5 Million for Misstatements Concerning ESG

The SEC charged BNY Mellon Investment Adviser, Inc. for misstatements and omissions about Environmental, Social, and Governance (ESG) considerations.

Flash Reports
31 Mar, 2022

Shocking Recension and Amendment of the Proxy Adviser Rule Threatens Shareholder Democracy

In November 2021, the U.S. Securities and Exchange Commission’s (the “SEC” or “Commission”) proposed recensions and amendments to the proxy adviser rule under the Investment Advisers Act of 1940.

Adviser Charged with Failing to Disclose Fees and Expenses: Results in nearly $10 million in penalties and reimbursements

On December 20th, a private fund adviser, Global Infrastructure Management, LLC, was charged by the SEC for fee and expense disclosure failures.

SEC Exam Trends

SEC Exam Trends The SEC’s Division of Examinations has conducted a series of exams, coined […]

SEC Commissioner Signals Regulatory Changes are underway for Cybersecurity

SEC Chair Gensler spoke at Northwestern Pritzker School of Law’s Annual Securities Regulation Institute yesterday, where he focused on the Commission’s cybersecurity initiatives.

News & Insights: SEC

SEC Proposes New Electronic Delivery Framework for Required Investor Communications

SEC Examination Requests Regarding E-signatures

SEC Proposes to Enhance Disclosures About ESG Investment Practices

SEC’s ESG Taskforce Fines Investment Adviser $1.5 Million for Misstatements Concerning ESG

Shocking Recension and Amendment of the Proxy Adviser Rule Threatens Shareholder Democracy

Adviser Charged with Failing to Disclose Fees and Expenses: Results in nearly $10 million in penalties and reimbursements

SEC Exam Trends

SEC Commissioner Signals Regulatory Changes are underway for Cybersecurity

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