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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.

Flash Reports
27 Apr, 2023

SEC Risk Alert on Safeguarding Customer Information at Branch Offices

On April 26, 2023, the SEC’s Division of Examinations (EXAMS) published a Risk Alert regarding the security of customer information at branch offices maintained by broker dealers and investment advisers.

Flash Reports
30 Mar, 2023

SEC Risk Alert for Newly-Registered Advisers

On March 27, 2023, the SEC’s Division of Exams (“EXAMS”) published a risk alert on observations from examinations of newly-registered advisers.

CyberSecurity
16 Mar, 2023

SEC Reopens Public Comment on The Cybersecurity and Risk Management Rule and Proposes Changes to Reg S-P to Enhance Protection of Customer Information

On Wednesday, March 15, the SEC held an opening meeting and announced three proposed rules touching on cybersecurity and also reopened its proposed Cybersecurity Risk Management Rule for more public commentary

Fairview Webinar: The SEC’s Proposed Cybersecurity Risk Management Rule and The Proposed Outsourcing Rule Presentation

Fairview’s team of regulatory experts discuss details of the proposed rule, associated changes, and what RIAs can do to begin to prepare for compliance.

Flash Reports
16 Feb, 2023

SEC Proposes Rule Changes Related to Custody of Client Assets

On February 15, 2023, the SEC proposed rule changes intended to strengthen custody protections for client assets managed by RIAs. The proposed amendment and redesignation of the Custody Rule (Rule 206(4)-2), as the Safeguarding Rule (Rule 223-1), expands current protections to cover more client asset types and impacts related recordkeeping and reporting requirements.

CyberSecurity
13 Feb, 2023

SEC Expected to Finalize Cybersecurity Rule Spring 2023

On January 11, 2023, the SEC updated its Frequently Asked Questions page for the New Marketing Rule. There are now three questions and three answers.

SEC Revises Marketing FAQ to Address Private Fund Net Performance

On January 11, 2023, the SEC updated its Frequently Asked Questions page for the New Marketing Rule. There are now three questions and three answers.

Flash Reports
21 Dec, 2022

NSCP Currents: Beatles, Buy-In, and Business Strategies: Simplifying the Process of Earning and Maintaining Employee Buy-In for Organizational Initiatives

Simplifying the Process of Earning and Maintaining Employee Buy-In for Organizational Initiatives.

SEC
01 Dec, 2022

Goldman Sachs Fined $4M for Policy Failures of ESG Investments

The SEC charged Goldman Sachs Asset Management, LP, with maintaining inadequate and inaccurate policies governing its ESG investment strategies.

The SEC’s New Proxy Rule: What You Need to Know

On November 2, 2022, the Securities and Exchange Commission (SEC) adopted rule and form amendments.