News & Insights | Fairview Regulatory Compliance

News & Insights

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

SEC
11 May, 2026
Jeremy McCamic

New Qualified Client Threshold Increases on June 29th: What this means for your Performance-Based Fees

The SEC issued a final order that adjusts the dollar amount thresholds for “qualified clients” under Rule 205-3 of the Investment Advisers Act.

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Flash Reports
18 May, 2017

SEC Releases Risk Alert on Ransomware

On May 17, 2017, the SEC released a risk alert on a widespread ransomware attack, known as WannaCry, WCry or Wanna Decryptor.

Flash Reports
15 May, 2017

SEC Takes Strict Stance on General Solicitations of Certain Regulation D Offerings

In a review of a FINRA disciplinary action, the SEC affirmed its zero-tolerance policy for general solicitations of specific Regulation D offerings.

Flash Reports
19 Apr, 2017

CFA Institute Issues Guidance Statement on Broadly Distributed Pooled Funds

A broadly distributed pooled fund is defined as a fund which is publicly available to multiple investors without a minimum quantity of investors required.

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