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FINRA’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 […]
Read MoreFINRA Fines BD $750k (Recordkeeping & Supervisory Failures)
FINRA Introduction On January 30th, 2026, FINRA fined and censured a Broker Dealer for $750,000 for failing to properly supervise and retain business-related text messages […]
Read MoreRetail Alts Compliance Considerations
Vigilant Insights Introduction The landscape of Alternative Investments has expanded significantly over the last decade, with Retail Investors gaining access to asset classes once limited […]
Read MoreVigilant Compliance Newsletter | January 2026
Monthly Newsletter Printer Friendly Version In January, there were important releases including Vigilant Announcements, Vigilant Insights, and SEC Releases. Below is a brief overview of […]
Read MoreNavigating Private Fund Marketing Rules | Vigilant Insights
Vigilant Insights Introduction Private Fund Managers continue to face increasing scrutiny around how they market their strategies, performance, and expertise. While the SEC’s modernized Marketing […]
Read MoreCustody Rule Violations and Compliance Gaps Drive SEC Order
SEC Releases Introduction On January 20, 2026, the SEC issued an administrative enforcement order against two RIAs (both wholly owned by the same parent corporation) […]
Read MoreMarketing Rule FAQ Updates | Maxwell Baker Insights
Vigilant Insights Introduction The SEC has issued updated guidance to its Marketing Rule FAQs, aiming to address on-going industry confusion around the use of testimonials […]
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