CJ Schaible, Author at Vigilant LLC

Vigilant Compliance Newsletter | March 2026

Monthly Newsletter Printer Friendly Version In March, there were important releases including Vigilant Insights and SEC Releases. Below is a brief overview of what took place […]

Investment Company Growth and the Role of Regulation

SEC Releases Introduction On March 24, 2026, SEC Commissioner, Hester M. Peirce, made remarks at the ICI Conference, highlighting the expanding role of Investment Companies […]

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 […]

When 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 […]

SEC 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, […]

Vigilant 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 […]

SEC 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 […]

SEC 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 […]

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 […]

SEC 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 […]

Why 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 […]

Performance 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 […]