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News & Insights: Regulatory Filings

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.

SEC Adopts Rules and Interpretations Including Form CRS and Regulation Best Interest

The SEC adopted a package of rules and interpretations intended to increase transparency for retail investors in their relationships with investment advisers and broker-dealers. The package includes Regulation Best Interest, the Form CRS Relationship Summary, and two new interpretations of the Advisers Act of 1940.

Flash Reports
15 Dec, 2017

SEC Modifies Final Rule for Form N-PORT

The SEC has adopted a temporary final rule that will delay the compliance dates for filing a Form N-PORT.

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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