SEC | Page 5 of 16 | 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.

Regulation S-P
17 Sep, 2025

SEC Webinar Recap: Adoption Timeline for 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.

Regulation S-P
15 Sep, 2025

Why Amended Reg S-P Isn’t Getting Delayed: What Advisers Should Do Now

Despite efforts to postpone Amended Regulation S-P, industry experts believe that the SEC is unlikely to postpone Amended Regulation S-P. Given the impending deadline, advisers should work diligently to meet the quickly approaching compliance date.

SEC Marketing Rule & Recordkeeping Fine: What Triggered the $75,000 Penalty

On September 4, 2025, the SEC issued an administrative order (“the order”) against a registered investment adviser (“RIA”) for compliance violations related to the Marketing Rule and the Books and Records Rule, among others. The RIA agreed to pay $75,000 in civil penalties for the violations.

Private Fund
08 Sep, 2025

SEC Overcharging Case: What It Means for Private Fund Management Fee Practices

On August 15, 2025, the SEC announced charges against a Registered Investment Adviser for its management fee calculation practices for private fund clients. Each fund has a limited partnership agreement (“LPA”) that states the adviser is entitled to management fees and may receive transaction fees, including advisory fees, monitoring fees, and other fees, from portfolio companies.

SEC
04 Sep, 2025

SEC’s 2025 Regulatory Agenda: What Rules Were on the Table

SEC Chair Paul Atkins released a statement on Thursday, Sept. 4, 2025, announcing the Office of Information and Regulatory Affairs’ release of the Spring 2025 Unified Agenda of Regulatory and Deregulatory Actions.

SEC
28 Aug, 2025
Jeremy McCamic

SEC Regional Office Closures Called Off: What Remains Unclear

On August 25, 2025, the Fifth U.S. Circuit Court of Appeals remanded two rules adopted during the Biden administration, giving hedge fund associations a partial victory. The rules were not vacated. However, the Securities and Exchange Commission (“SEC”) must now review them in light of the court’s opinion.

SEC
26 Aug, 2025
Jeremy McCamic

Fifth Circuit Ruling Sends Short-Selling Disclosure Rules Back to the SEC

CCO Charged for Backdating Annual Reviews, and Other Violations of the Advisers Act

On July 11, 2025, the SEC announced settled charges against a registered investment adviser (“RIA”), its CCO, and its president for creating backdated documents and producing them during an SEC examination; failing to adequately disclose conflicts of interest; and overbilling client accounts.

Trump Signs Executive Order Allowing 401(k) Investments in Alternative Assets

On August 7, 2025, President Trump signed an Executive Order seeking to allow 401(k) retirement plans to invest in alternative assets such as private equity, real estate, and cryptocurrencies.

CCO Charged for Altering Records Provided in SEC Examination

On July 15, 2025, the SEC announced settled charges against a CCO of a registered investment adviser for altering records and producing fictitious records in response to SEC examination requests for information.