News & Insights: Regulatory Filings

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.

Regulation Best Interest: What You Should Know

The SEC adopted Regulation Best Interest (BI) which is intended to raise the standard of conduct for broker-dealers working with retail customers. The regulation had been under consideration since April 2018 and was passed by the Commission in a three-to-one vote.

Click below to view General Filing Deadlines and SEC Holidays

Regulatory Calendar

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

Filter by Category

Filter by Topic

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.

©2024 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