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Flash Reports: Stay Up to Date on the Latest SEC- and Compliance-related News

Our team of regulatory experts provides timely updates and analyses of all SEC and regulatory news affecting compliance professionals. Our Flash Reports are delivered right to your inbox, helping to ensure you remain informed on all of the latest SEC-related news and trends. Whether you’re looking for updates on the rule changes and upcoming deadlines, cybersecurity and AI developments, or SEC Exam trends, we’ve got you covered.

Fairview's 2026 Compliance Calendars

Compliance Calendar

Download our 2026 Compliance Calendar to stay up to date on all regulatory deadlines and SEC filing obligations, helping you meet upcoming due dates, with confidence.

Compliance Calendar for Private Funds

Download our 2026 Compliance Calendar outlining key private fund deadlines and SEC filing obligations, designed to help your firm stay prepared.

Industry News

SEC Risk Alert: 5 Annual Compliance Review Deficiencies Investment Advisers May Need to Fix

September 16, 2026
Risk Alert, SEC

On September 14, 2026, the SEC Division of Examinations published a Risk Alert on observations of investment advisers’ annual compliance reviews. Although registered investment advisers have had to conduct annual compliance reviews for over twenty years, the SEC observed a number of deficiencies that investment advisers should consider as they complete these reviews.

FINRA ID.me Verification Deadline Approaches

September 11, 2026
FINRA

The FINRA Entitlement Platform began rolling out ID.me verification for investment advisers back in May, and the final wave is coming to a close in September.

SEC Proposes Ending The Pay to Play Rule

September 4, 2026
SEC

On Sept. 3, 2026, the SEC proposed rescinding the Pay to Play rule, which restricts advisers from political contributions before advising government clients.

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