News & Insights

Check out our Flash Reports for the latest SEC- and compliance-related news, trends, and insights.

SEC Formally Withdraws 14 Gensler-Era Proposals

On June 12, 2025, the SEC announced a new final rule “formally withdrawing certain notices of proposed rulemaking issued between March 2022 and November 2023.” These withdrawn proposals make up every remaining proposal under Gensler’s leadership of the SEC during the Biden administration.

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Annual FINRA Entitlement User Accounts Certification – 2020

he FINRA Entitlement Program requires an annual review and certification of user accounts to ensure that all persons with access to FINRA applications, such as the IARD portal, are approved by the Super Account Administrator (SAA) of the adviser.

10 Things to Document When Implementing Your Business Continuity Plan

In the COVID-19 pandemic, widespread shutdowns and stay-at-home orders are in place. Under these circumstances, maintaining thorough documentation of your firm’s Business Continuity Plan implementation is critical.

Risk Alerts From OCIE: Form CRS and Reg BI

OCIE released two Risk Alerts to address upcoming compliance expectations for the new Form CRS and Regulation Best Interest requirements. OCIE acknowledges that the COVID-19 pandemic has created unusual issues for firms but will continue to conduct examinations as usual.

SEC Updates Custody Rule FAQs to Address COVID-19 Concerns

The SEC updated FAQs on custody rule requirements in response to the pandemic.

Important Upcoming Deadlines for SEC Registered Investment Advisers

There are several key deadlines for SEC-registered investment advisers in the coming weeks, including form distribution and filings, and annual reviews for many.

How to Prepare for Form CRS

Recently, Amber Allen, Vice President and General Counsel, and Nick Byrne, Relationship Manager, of Fairview offered their knowledge of Form CRS to help advisers navigate the new filing requirement.

SEC Issues Additional Relief and Guidance as COVID-19 Creates Obstacles

The SEC expanded on a recently released relief package to extend due dates for certain filings and documentation.

SEC Exams Now Focusing on Firms’ Pandemic Plans

In response to the pandemic, the SEC has a heightened focus on firms’ business continuity planning and practices.

COVID-19 UPDATE: A Breakdown of the SEC’s Regulatory Relief Provisions for Filings and Documentation

While the international COVID-19 outbreak continues to affect the lives of the world’s citizens and, by extension, the United States’ securities infrastructure, the SEC is taking steps to provide relief to firms and funds through delays in form filing and document delivery obligations.

COVID-19 UPDATE: How the SEC Continues Its Response Efforts

As efforts to contain the COVID-19 virus expand worldwide, the SEC remains focused on maintaining a fair and orderly market and continuing its operations. The Commission has transitioned most of its staff to work remotely and conducts remote exams and enforcement.

Click below to view General Filing Deadlines and SEC Holidays

Regulatory Calendar

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