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 Nearly Two Dozen Unregistered Broker-Dealers
March 26, 2015The Securities and Exchange Commission today charged nearly two dozen companies and individuals who regularly bought and sold securities on[...]
Read ArticleSEC Adopts Rules to Facilitate Smaller Companies’ Access to Capital
March 25, 2015The Securities and Exchange Commission today adopted final rules to facilitate smaller companies’ access to capital. The new rules provide[...]
Read ArticleSEC Proposes Rule to Require Broker-Dealers Active in Off-Exchange Market to Become Members of National Securities Association
March 25, 2015The Securities and Exchange Commission today proposed rule amendments to require that broker-dealers trading in off-exchange venues become members of[...]
Read ArticleCorporate Insiders Charged for Failing to Update Disclosures Involving “Going Private” Transactions
March 13, 2015The Securities and Exchange Commission today charged eight officers, directors, or major shareholders for failing to update their stock ownership[...]
Read ArticleSEC Charges Texas-Based Brokerage Firm With Violating Supervisory and Customer Protection Rules
March 04, 2015The Securities and Exchange Commission today charged an Irving, Texas-based brokerage firm with violating key customer protection rules after failing[...]
Read ArticleFormer Company Officer Earns Half-Million Dollar Whistleblower Award for Reporting Fraud Case to SEC
March 02, 2015The Securities and Exchange Commission today announced a whistleblower award payout between $475,000 and $575,000 to a former company officer[...]
Read ArticleSEC Suspends Trading in 128 Dormant Shell Companies to Put Them Out of Reach of Microcap Fraudsters
March 02, 2015The Securities and Exchange Commission today announced it has suspended trading in 128 inactive penny stock companies to ensure they[...]
Read ArticleSEC Halts Ponzi-Like Scheme by Purported Venture Capital Fund Manager in Buffalo
February 27, 2015The Securities and Exchange Commission today charged a purported venture capital fund manager in Buffalo, N.Y., with fraudulently using money[...]
Read ArticleFee Rate Advisory #4 for Fiscal Year 2015
February 27, 2015Pursuant to Section 31(j)(2) of the Securities Exchange Act of 1934, the Commission has determined that a mid-year adjustment to[...]
Read ArticleSEC Announces Agenda for March 4 Meeting of the Advisory Committee on Small and Emerging Companies
February 27, 2015The Securities and Exchange Commission today announced that the next meeting of its Advisory Committee on Small and Emerging Companies[...]
Read ArticleReadout of SEC Chair Mary Jo White’s Meeting with European Union Financial Services Commissioner Jonathan Hill
February 26, 2015Securities and Exchange Commission Chair Mary Jo White hosted a meeting this morning with European Union Financial Services Commissioner Jonathan[...]
Read ArticleSEC Salt Lake Office Director Karen Martinez to Retire From Public Service
February 26, 2015The Securities and Exchange Commission today announced that Karen L. Martinez, Regional Director of the Salt Lake office, is leaving[...]
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