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 Charges Two Information Technology Executives With Mischaracterizing Resale Transactions to Increase Revenue

August 28, 2014

The Securities and Exchange Commission today charged two executives at a Dallas-based information technology company with mischaracterizing an arrangement with[...]

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SEC Adopts Credit Rating Agency Reform Rules

August 27, 2014

The Securities and Exchange Commission today adopted new requirements for credit rating agencies to enhance governance, protect against conflicts of[...]

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SEC Adopts Asset-Backed Securities Reform Rules

August 27, 2014

The Securities and Exchange Commission today adopted revisions to rules governing the disclosure, reporting, and offering process for asset-backed securities[...]

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SEC Announces Pilot Plan to Assess Stock Market Tick Size Impact for Smaller Companies

August 26, 2014

The Securities and Exchange Commission today announced that the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) filed[...]

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SEC Charges Investor Relations Firm Executive With Insider Trading Ahead of News Announcements By Clients

August 26, 2014

The Securities and Exchange Commission today charged a director of market intelligence at a Manhattan-based investor relations firm with insider[...]

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SEC Names James Schnurr As Chief Accountant

August 26, 2014

The Securities and Exchange Commission today announced it has named James Schnurr as its chief accountant.  Mr. Schnurr will begin[...]

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California-Based Telecommunications Equipment Firm and Two Former Executives Charged in Revenue Recognition Scheme

August 22, 2014

The Securities and Exchange Commission today announced charges against a Newport Beach, Calif.-based telecommunications equipment company and two former executives[...]

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Bank of America Admits Disclosure Failures to Settle SEC Charges

August 21, 2014

The Securities and Exchange Commission today announced a settlement in which Bank of America admits that it failed to inform[...]

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Chief Information Officer Thomas Bayer to Leave SEC

August 20, 2014

The Securities and Exchange Commission today announced that its Chief Information Officer Thomas Bayer is planning to leave the agency[...]

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SEC Announces Municipal Advisor Exam Initiative

August 19, 2014

The Securities and Exchange Commission today announced that its Office of Compliance Inspections and Examinations (OCIE) is launching an examination[...]

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SEC Charges Former Bank Executive and Friend With Insider Trading Ahead of Acquisition

August 18, 2014

The Securities and Exchange Commission today charged a former bank executive in Massachusetts and his friend with insider trading in[...]

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SEC Announces Charges in Houston-Based Scheme Touting Technology to End Fracking

August 15, 2014

The Securities and Exchange Commission today announced charges against a Houston-based penny stock company and four individuals behind a pump-and-dump[...]

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