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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.

SEC
31 Aug, 2022

The SEC Adopts New Amendments to its Whistleblower Program

On August 26, 2022 the SEC adopted two amendments to the rules guiding its whistleblower program, according to a press release from the SEC.

CyberSecurity
17 Aug, 2022

SEC Charges 18 Defendants in International Scheme to Manipulate Stocks Using Hacked US Brokerage Accounts

The SEC charged individuals involved in a scheme in which dozens of accounts were hacked and used to purchase microcap stocks to manipulate the price.

Flash Reports
05 Aug, 2022

NSCP Currents: Using Litigation Releases as Case Studies: The SEC’s First Reg BI Case

The SEC’s First Reg BI Enforcement Action” by Brian Rubin, Issa Hanna and Andrew Mount provides an insightful analysis of the SEC’s first Reg BI case.

CyberSecurity
02 Aug, 2022

SEC Charges JPMorgan, UBS, and TradeStation for Deficiencies Relating to the Prevention of Customer Identity Theft

The SEC announced in a press release that it separately charged J.P. Morgan Securities LLC, UBS Financial Services Inc., and TradeStation Securities, Inc. for deficiencies in their programs to prevent customer identity theft.

SEC
01 Aug, 2022
Tripp Marriott

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.

The New Marketing Rule: Part 7 – Third Party Ratings

The new rule allows firms to use third-party ratings in their marketing materials, provided that their use complies with the general prohibitions and provides the required disclosures.

The New Marketing Rule Part 6 – Categories of Performance and Their Requirements

Our series of Flash Reports addresses common questions RIAs may have about the new rule and its impact on compliance. If you have questions, we can help.

SEC
08 Jun, 2022
Kenslee Stevens

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.

The New Marketing Rule Part 5 – Challenges for Performance Advertising

The new SEC Marketing Rule provides new guidance on performance advertising. Find out what you need to know, and how it may impact your compliance program.

SEC
24 May, 2022
Kenslee Stevens

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.