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 Suspends Trading in Companies Touting Operations Related to Prevention or Treatment of Ebola
November 20, 2014The Securities and Exchange Commission today suspended trading in four companies that claim to be developing products or services in[...]
Read ArticleSEC Announces Next Meeting of the Advisory Committee on Small and Emerging Companies
November 19, 2014The Securities and Exchange Commission today announced that its Advisory Committee on Small and Emerging Companies will hold its next[...]
Read ArticleSEC Adopts Rules to Improve Systems Compliance and Integrity
November 19, 2014The Securities and Exchange Commission today voted to adopt new rules designed to strengthen the technology infrastructure of the U.S.[...]
Read ArticleSEC Charges Unregistered Broker in Tampa Area With Stealing From Investors in Fraudulent Day Trading Scheme
November 18, 2014The Securities and Exchange Commission today charged an unregistered broker living outside Tampa, Fla., with stealing investor funds as part[...]
Read ArticleSEC Staff Releases Accounting Bulletin to Update Guidance on Pushdown Accounting
November 18, 2014The Securities and Exchange Commission’s Office of the Chief Accountant and Division of Corporation Finance today released a Staff Accounting[...]
Read ArticleSEC Sanctions Two Former Defense Contractor Employees for FCPA Violations
November 17, 2014The Securities and Exchange Commission today sanctioned two former employees in the Dubai office of a U.S.-based defense contractor for[...]
Read ArticleSEC Charges Three Penny Stock Promoters Behind Pump-and-Dump Schemes
November 17, 2014The Securities and Exchange Commission today charged three penny stock promoters with conducting pump-and-dump schemes involving stocks they were touting[...]
Read ArticleSEC Charges San Francisco-Based Penny Stock Company CEO for Defrauding Investors in Pump-and-Dump Scheme
November 17, 2014The Securities and Exchange Commission today charged a San Francisco-based penny stock company CEO with defrauding investors by issuing false[...]
Read ArticleSEC Charges Business Owner and Stockbroker in Maryland-Based Offering Fraud
November 14, 2014The Securities and Exchange Commission today charged the owner of a Maryland-based real estate company with conducting an offering fraud[...]
Read ArticleSEC Announces Agenda and Panelists for Small Business Forum
November 14, 2014The Securities and Exchange Commission today announced the agenda and panelists for next week’s Government-Business Forum on Small Business Capital[...]
Read ArticleSEC and SBA to Host Event on Small Business Capital Raising Prior to Small Business Forum
November 14, 2014The Securities and Exchange Commission, in partnership with the U.S. Small Business Administration, today announced they will jointly host an[...]
Read ArticleSEC Announces Charges Against India-Based Operators of High-Yield Investment Scheme Using Social Media
November 12, 2014The Securities and Exchange Commission today announced charges against two India-based operators of an alleged high-yield investment scheme seeking to[...]
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