News & Insights: Regulatory Filings

SEC Gary Gensler to Step Down as Commission Chair

Gary Gensler will step down from his position as the 33rd Chair of the Securities and Exchange Commission (SEC) on January 20, 2025, at 12:00 p.m., according to the SEC’s November 21, 2024 press release.

New Brand; Same Ownership and Same Quality, Tailored Services

Today, after years of steady growth, Fairview has unveiled a new brand that aligns more closely with the company Fairview is today.

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.

COVID-19: What Financial Regulatory Bodies Are Saying

The financial industry continues to be affected by COVID-19, leading regulatory bodies to release statements and act on this matter in multiple capacities. Below is a summary of how some organizations are responding to COVID-19 concerns.

SEC Provides FAQs for Regulation Best Interest

The SEC released a set of Frequently Asked Questions for use by broker-dealers who are coming into compliance with the regulation.

SEC Adopts Rule Modernizing ETF Regulations

The SEC voted to adopt Rule 6c-11. The goal of the rule is to create a clear process to establish and operate exchange traded funds (ETFs) and to facilitate competition in this market.

Alaska Investment Adviser Ordered to Pay Over $400K in SEC Settlement

The SEC released a settlement with an Alaska investment adviser, which was penalized for its failure to properly disclose compensation conflicts to clients.

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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.

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