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SEC RIA Charged with Violation of Section 206(2) and Section 206(4) of the Advisers Act
SEC Releases | RIA Charged with Violation of Section 206(2) and Section 206(4) of the Advisers Act Regal Investment Advisors, LLC (“Regal”) failed to […]
Read MoreSeptember 2021 Recap | Vigilant Monthly Newsletter
Vigilant Newsletter | September 2021 In Case You Missed It: Due to the overwhelming demand for our New Marketing Rule Webinar on Wednesday, […]
Read MoreSEC May Potentially Forbid Trading for 270 China-Related Companies by Early 2024
SEC Release | SEC Chairman, Gary Gensler Insights On September 13th, 2021, SEC Chairman, Gary Gensler, stated that the SEC may need to forbid trading in approximately […]
Read MoreAugust 2021 Recap | Vigilant Newsletter
Vigilant Newsletter | August 2021 Compliance Recap In the month of August there were many important SEC Releases, as well some insights and takeaways from […]
Read MoreSEC Charges 8 Firms for Failures in Their Cybersecurity Policies and Procedures
SEC Release | Cybersecurity On August 30th, 2021, the SEC announced that they have charged eight firms in three actions for failures in their cybersecurity […]
Read MoreSEC Charges Investment Adviser and its Associated Individuals for Violating Regulation SHO
SEC Releases | SEC Enforcement Action On August 17th, 2021, the SEC announced that they charged an Investment Adviser and its Associated Individuals for providing […]
Read MoreSEC Issues $1 Million Fine Regarding a Cyber Breach for Mislead Investors
SEC Releases | Cybersecurity On August 16th, 2021, the SEC announced that they charged a London-based public company with a $1 Million fine for […]
Read MoreVigilant Celebrates 17 Years of Compliance Excellence
Vigilant Announcements Vigilant celebrates 17 successful years in business as of August 15th, 2021. Vigilant was founded by Salvatore Faia, JD, CPA, CFE […]
Read MoreFINRA Cites MSRB Rule G-13 in Action Against Broker Dealer
Whitepapers | FINRA One of Vigilant’s Directors, Deane Armstrong, created a Whitepaper discussing issues raised by the recent FINRA Acceptance, Waiver, and Consent (AWC) […]
Read MoreReceiving Transaction-Based Compensation? You Must Be Registered As A Broker-Dealer.
SEC Charges Electronic Trading Platform | SEC Release On June 29th, 2021, the SEC announced that Neovest, Inc. failed to register as a broker-dealer in […]
Read MoreSEC Commissioner Provides Updates Towards Climate, ESG, and More
SEC Release On June 28th, 2021, the 2021 Society for Corporate Governance National Conference took place, where there were large discussions on Climate […]
Read MoreESG Rules Update from Commissioner Elad L. Roisman
Vigilant Insights | SEC Release On June 22nd, 2021, the SEC posted a speech regarding ESG Rules and if the SEC will make them sustainable. The […]
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