Vigilant’s experienced professionals have extensive knowledge in Investment Adviser, Broker-Dealer, Mutual Fund, Private Equity, and Cybersecurity compliance, risk, and technology. Vigilant provides insights on best practices, trends, and industry news. Our blog consolidates all SEC, Vigilant, and industry-specific compliance alerts, white papers, articles, etc., to help you stay informed and find the information that you will need and find useful.
FINRA
FINRA Fines BD $750k (Recordkeeping & Supervisory Failures)
February 03, 2026FINRA Introduction On January 30th, 2026, FINRA fined and censured a Broker Dealer for $750,000 for failing to properly supervise[...]
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FINRA
FINRA Announces Proposed Rule 3290
March 26, 2025FINRA Introduction On March 12, 2025, FINRA, in its Notice 25-04, announced its intention to launch a broad review of its[...]
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FINRA
First FINRA Fine for Use of Social Media Influencers
April 05, 2024FINRA Introduction FINRA recently announced its first enforcement action related to the use of Social Media Influencers. This stems from[...]
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FINRA
Failure of Properly Implementing WSPs | FINRA Fine
February 06, 2024FINRA Introduction A FINRA Firm was recently disciplined for failures to properly implement WSPs that would adequately review the electronic communications of its registered[...]
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FINRA
FINRA Expels First Broker Dealer Under Regulation BI
May 18, 2023FINRA Brief Introduction A New York Firm was expelled by FINRA on May 12th related to multiple Regulation BI violations.[...]
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FINRA
Signs Your Firm May Not Be SEC or FINRA Compliant
February 17, 2023From archiving your business’s communication records to filing quarterly and annual reports, you must take several steps to ensure your[...]
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FINRA
Mutual Fund Compliance: An Overview of What You Need to Know
June 14, 2022There continues to be new rules and regulations that impact Mutual Funds, and other Registered Funds. Recent changes like the[...]
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FINRA
FINRA Provides A Reminder Towards CCO Liability
March 22, 2022Brief Introduction to New FINRA Release FINRA released a Regulatory Notice on Friday, March 17th, stating that they consider the role of[...]
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FINRA
10 THINGS EVERY BROKER-DEALER NEEDS TO KNOW ABOUT FINRA RULE 2210
August 31, 2021FINRA Rule 2210 is a comprehensive regulation governing the approval, review and recordkeeping of a broker-dealer’s communications and correspondences. It also[...]
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FINRA
FINRA Cites MSRB Rule G-13 in Action Against Broker Dealer
August 12, 2021Whitepapers | FINRA One of Vigilant’s Directors, Deane Armstrong, created a Whitepaper discussing issues raised by the recent FINRA[...]
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FINRA
FINRA’s 2021 Annual Conference Remarks
June 03, 20219 Key Takeaways from FINRA’s 2021 Annual Conference On May 20th, 2021 the SEC released remarks at the 2021[...]
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FINRA
Expectations from FINRA’s 2021 Report on Examination and Risk Monitoring Programs
March 12, 2021FINRA released its report on Risk Monitoring and Examination Activities which is designed to provide annual insights from FINRA’s ongoing regulatory operations and[...]
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