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Home/Fairview® Flash Reports
Fairview® Flash Reports 2019-06-06T02:01:57+05:00
Nov5, 2019

SEC Proposes Changes to Advertising and Solicitation Rules

By | Nov 5th, 2019|Fairview® Flash Reports, Marketing and Social Media, Registration, Disclosure and Filing Requirements, Solicitation, U.S. Securities and Exchange Commission, Uncategorized|

SEC Proposes Changes to Advertising and Solicitation Rules WHAT HAPPENED? On Nov. 4, 2019, the Securities and Exchange Commission released proposed amendments intended to modernize the advertising and solicitation [...]

Oct10, 2019

Pair of Advisers Fined for Failing to Disclose Interest in Publicly Traded Company

By | Oct 10th, 2019|Enforcement, Fairview® Flash Reports, Registration, Disclosure and Filing Requirements, U.S. Securities and Exchange Commission|

Pair of Advisers Fined for Failing to Disclose Interest in Publicly Traded Company  WHAT HAPPENED? On Sept. 24, 2019, the Securities and Exchange Commission released information that a registered investment adviser, Strategic [...]

Oct1, 2019

Company Charged with Violating Regulation ATS After Releasing Confidential Information

By | Oct 1st, 2019|Enforcement, Fairview® Flash Reports, Registration, Disclosure and Filing Requirements, U.S. Securities and Exchange Commission|

Company Charged with Violating Regulation ATS After Releasing Confidential Information WHAT HAPPENED? On Sept. 24, 2019, the Securities and Exchange Commission released information that TMC Bonds LLC, operator of [...]

Jul25, 2019

OCIE Releases Findings After Examining Firms Employing Persons with Disciplinary Histories

By | Jul 25th, 2019|Enforcement, Fairview® Flash Reports, Registration, Disclosure and Filing Requirements, U.S. Securities and Exchange Commission|

OCIE Releases Findings After Examining Firms Employing Persons with Disciplinary Histories WHAT HAPPENED? On July 23, 2019, the Office of Compliance Inspections and Examinations (OCIE) released a Risk Alert [...]