News & Insights | Fairview Regulatory Compliance

News & Insights

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

Smaller Advisers: Time to Comply with Amended Reg S-P

The final compliance deadline of Amended Reg S-P is finally here. For smaller entities, who manage less than $1.5B in AUM, there are less than two months until the June 3, 2026, deadline.

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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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