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SEC Leaders Discuss Disclosure Reform and Market Innovation
SEC Releases Introduction During the March 12, 2026, meeting of the SEC’s Investor Advisory Committee, SEC leadership discussed several important regulatory topics currently shaping the […]
Read MoreWhen Are RIAs Conducting Mock Exams?
Vigilant Insights Introduction Mock Exams have become an important area of consideration for many Registered Investment Advisers (“RIAs”) of all sizes ranging from multi-Billion in […]
Read MoreSEC Chair Remarks on AI and Market Oversight
SEC Releases Introduction At a recent roundtable hosted by the Financial Stability Oversight Council as part of its AI Innovation Series, SEC Chair, Paul Atkins, […]
Read MoreVigilant Compliance Newsletter | February 2026
Monthly Newsletter Printer Friendly Version In February, there were important releases including Vigilant Insights, SEC Releases, and FINRA Releases. Below is a brief overview of […]
Read MoreSEC Charges Private Credit Adviser Over Valuations
SEC Releases Introduction On February 25, 2026, the SEC charged an RIA specializing in Private Credit and Loan Investments with violating the Investment Advisers Act […]
Read MoreSEC Proposes N-PORT Relief | Fred Teufel Insights
Vigilant Insights Introduction On February 19, 2026, the SEC announced Proposed Amendments designed to reduce certain operational burdens associated with Form N-PORT reporting while maintaining […]
Read MoreFINRA’s New $300 Gift Limit | Deane Armstrong Insights
Vigilant Insights Introduction The SEC has approved revisions to FINRA’s Rule 3220, increasing the annual gift limit for member Firms and their associated persons. For […]
Read MoreSEC Names Rule FAQ
SEC Releases Introduction The Names Rule FAQs issued by the SEC provide practical guidance on amendments to Rule 35d-1 under the Investment Company Act of […]
Read MoreWhy Independent Compliance Providers Matter More Than Ever
Vigilant Insights Introduction In recent years, the Outsourced Compliance industry has experienced a notable rise in Mergers and Acquisitions (M&A), with many Firms being acquired […]
Read MorePerformance Projections Proposal | Vigilant Insights
Vigilant Insights Introduction On February 11, 2026, FINRA released a Proposal that could reshape how Broker Dealers use Performance Projections in Marketing Materials. FINRA has […]
Read MoreSEC Director of IM Discusses AI in Investment Management
SEC Releases Introduction In recent remarks at the ICI Winter Board Meeting, Brian Daly, Director of the SEC’s Division of Investment Management, discussed how AI […]
Read MoreSEC Registration Compliance Considerations
Vigilant Insights Introduction SEC Registration is a key regulatory milestone for Investment Advisers. Whether driven by asset growth, a new Fund launch, or changes to […]
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