News & Insights: Trading & Valuation

SEC Chairman Clayton Provides Statement on Cryptocurrency and Initial Coin Offerings

SEC Chairman Jay Clayton released a statement on cryptocurrencies and initial coin offerings (ICO) to guide as both markets continue to expand. 

SEC Charges Stock Trader with Insider Trading

The SEC charged a stock trader with generating over $1 million in illegal insider trading profits.  Defendant collaborated with four former colleagues, posing as portfolio managers, to persuade investment bankers to share nonpublic information regarding upcoming secondary offerings.

Adviser Charged with Defrauding Clients

the SEC charged a dually registered investment adviser and broker-dealer, with defrauding its clients and receiving $780,000 in ill-gotten gains.

SEC Charges Unregistered Fund Manager

Unregistered investment adviser and its principals charged with engaging a fund in conflicted transactions without providing disclosure to the investors.

SEC Grants Relief to Broker-Dealers and Investment Advisers

The SEC released three no-action letters that will provide 30 months of relief under the Investment Advisers Act of 1940 for US broker-dealers under the second Markets in Financial Instruments Directive (“MiFID II”).

Amendments to the Books and Records Rule, Effective October 1st

Effective Oct. 1, advisers will be required to comply with the revised Books and Records Rule. Under the new rule, advisers must maintain additional records supporting the calculation and distribution of performance information.

SEC Charges Investment Adviser with Defrauding Clients and Prospective Clients

The SEC charged an investment adviser and its principal with misleading clients and prospective clients about the performance track record of an investment strategy they offered.

SEC Charges Hedge Fund Adviser with Failure to Prevent Insider Trading

Advisory firm policies should ensure firm’s compliance program is able to efficiently identify and address any potential risks.

SEC Fines Private Equity Firm for Inaccurate Disclosures

The SEC charged a registered real estate private equity firm with executing a transaction between two funds (“Fund I” and “Fund II”) it advised on different terms than what was disclosed to the Fund I investor advisory committee (“Fund I IAC”).

Filter by Topic

Click Below to View General Filing Deadlines and SEC Holidays

Interactive Calendar

2026 Downloadable Compliance Calendars

Downloadable Calendars

Stay up to date on the latest industry news and resources.

Fairview

Fairview has been providing streamlined solutions to providers in the financial services industry since 2005. We are part of ViewPoint Partners, our employee-owned parent company for both Fairview and FilePoint, which provides regulatory reporting solutions for registered investment companies.

©2026 Fairview® Investment Services, LLC. All rights reserved.

1330 St. Mary’s St.
Suite 400
Raleigh, NC 27605

info@fairviewinvest.com
919.706.4100
FAX: 800.770.9925