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 Staff Issue Risk Alert and FAQs on Customer Sales of Securities
October 09, 2014The Securities and Exchange Commission today announced publication of a Risk Alert and FAQs to remind broker-dealers of their obligations[...]
Read ArticleSEC Charges Current and Former E*TRADE Subsidiaries With Improperly Selling Penny Stocks Through Unregistered Offerings
October 09, 2014The Securities and Exchange Commission today announced an enforcement action against current and former brokerage subsidiaries of E*TRADE Financial Corporation[...]
Read ArticleSEC, FINRA and the MSRB to Hold Compliance Outreach Program for Municipal Advisors
October 01, 2014The Securities and Exchange Commission, Financial Industry Regulatory Authority (FINRA), and the Municipal Securities Rulemaking Board (MSRB) today announced the[...]
Read ArticleFee Rate Advisory #2 for Fiscal Year 2015
September 30, 2014When fiscal year 2015 starts on October 1, 2014, the Securities and Exchange Commission expects to be operating under a[...]
Read ArticleSEC Charges Two with Insider Trading on Pershing Square’s Announcement on Herbalife
September 30, 2014The Securities and Exchange Commission today announced charges against two individuals for insider trading on a prominent hedge fund manager’s[...]
Read ArticleTwo Former Wells Fargo Employees Charged With Insider Trading in Advance of Research Reports Containing Ratings Changes
September 29, 2014The Securities and Exchange Commission today announced insider trading charges against two former Wells Fargo employees involved in an alleged[...]
Read ArticleSEC Charges Bank of America With Securities Laws Violations in Connection With Regulatory Capital Overstatements
September 29, 2014The Securities and Exchange Commission today charged Bank of America Corporation with violating internal controls and recordkeeping provisions of the[...]
Read ArticleSEC Charges Two Florida Men With Defrauding Investors in Purported Television Network
September 29, 2014The Securities and Exchange Commission today announced charges against two Florida men for defrauding investors in a purported startup television[...]
Read ArticleSEC Charges Four Insurance Agents in Securities Fraud Targeting Elderly Investors
September 26, 2014The Securities and Exchange Commission today announced charges against four insurance agents for unlawfully selling securities in what turned out[...]
Read ArticleSEC Announces Cases Targeting International Pyramid Scheme Operators
September 26, 2014The Securities and Exchange Commission today announced charges against the operators of an international pyramid scheme that raised more than[...]
Read ArticleSEC Charges Arizona-Based Software Company for Inadequate Internal Accounting Controls Over Its Financial Reporting
September 25, 2014The Securities and Exchange Commission today sanctioned a Scottsdale, Ariz.-based software company for having inadequate internal accounting controls over its[...]
Read ArticleSEC Suspends Trading in Nine Penny Stocks in Ongoing Initiative to Combat Microcap Fraud
September 25, 2014The Securities and Exchange Commission today announced suspensions in trading for nine different penny stocks as part of an ongoing[...]
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