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.
SEC Releases
New Marketing Compliance FAQs
January 16, 2026SEC Releases Introduction Marketing Compliance remains a top regulatory priority for the SEC, as reinforced by continued examination focus and[...]
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SEC Releases
SEC Moves to Modernize Small Entity Thresholds
January 09, 2026SEC Releases Brief Introduction On January 7, 2026, the SEC announced a Proposed Rule to modernize and expand the definitions[...]
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SEC Releases
SEC Commissioner Crenshaw Raises Concerns on Market Direction
December 15, 2025SEC Releases Introduction On December 11th, 2025, SEC Commissioner, Caroline A. Crenshaw, delivered a candid assessment of the current direction[...]
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SEC Releases
SEC Outlook | Brian Daly’s (SEC Director of IM) Remarks
December 09, 2025SEC Releases Introduction On December 2, 2025, the newly appointed Director of the SEC’s Division of Investment Management, Brian Daly,[...]
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SEC Releases
$150K SEC Fine Highlights Importance of Transparency and Oversight
December 02, 2025SEC Releases Introduction On November 24th, 2025, an RIA and its Principal agreed to pay $150,000 to settle an Enforcement[...]
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SEC Releases
$325K SEC Fine Reflects Growing Regulatory Cyber Expectations
December 01, 2025SEC Releases Introduction On November 25th, 2025, a dually registered Broker Dealer and Registered Investment Adviser (RIA) has agreed to[...]
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SEC Releases
SEC Charges 6 Advisers for False Filings
November 25, 2025SEC Releases Introduction On November 17, 2025, the SEC announced charges against six (6) Investment Advisory Entities for submitting Form[...]
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SEC Releases
2026 Division of Examinations Exam Priorities | Key Takeaways
November 18, 2025SEC Releases Introduction On November 17, 2025, the SEC’s Division of Examinations (EXAMS) released its Fiscal Year 2026 Examination Priorities. These[...]
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SEC Releases
$5M Fine Shows the Cost of Inaccurate Marketing
September 22, 2025SEC Releases Introduction On September 18, 2025, the SEC announced a $5 Million Civil Penalty against a well-known Broker/Dealer for[...]
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SEC Releases
Private Capital Markets | SEC Commissioner Takeaways
September 17, 2025SEC Releases Introduction On September 4, 2025, SEC Commissioner, Mark Uyeda, opened the SIFMA Private Markets Valuation Roundtable by highlighting the[...]
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SEC Releases
Marketing Rule & Recordkeeping Violations | RIA Charged
September 09, 2025SEC Releases Introduction On September 4, 2025, the SEC issued an administrative order against a $258 Million RIA for multiple compliance violations[...]
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SEC Releases
$6M SEC Penalty for RIA and BD Conflict Disclosure Violations
September 05, 2025SEC Releases Introduction On August 29, 2025, the SEC charged another RIA ($159 Billion AUM) over $5 Million and its affiliated Broker/Dealer[...]
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