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.
FINRA’s New $300 Gift Limit | Deane Armstrong Insights
February 23, 2026Vigilant Insights Introduction The SEC has approved revisions to FINRA’s Rule 3220, increasing the annual gift limit for member Firms[...]
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SEC Names Rule FAQ
February 20, 2026SEC Releases Introduction The Names Rule FAQs issued by the SEC provide practical guidance on amendments to Rule 35d-1 under[...]
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Why Independent Compliance Providers Matter More Than Ever
February 18, 2026Vigilant Insights Introduction In recent years, the Outsourced Compliance industry has experienced a notable rise in Mergers and Acquisitions (M&A),[...]
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Performance Projections Proposal | Vigilant Insights
February 18, 2026Vigilant Insights Introduction On February 11, 2026, FINRA released a Proposal that could reshape how Broker Dealers use Performance Projections[...]
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SEC Director of IM Discusses AI in Investment Management
February 06, 2026SEC Releases Introduction In recent remarks at the ICI Winter Board Meeting, Brian Daly, Director of the SEC’s Division of[...]
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SEC Registration Compliance Considerations
February 04, 2026Vigilant Insights Introduction SEC Registration is a key regulatory milestone for Investment Advisers. Whether driven by asset growth, a new[...]
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FINRA Fines BD $750k (Recordkeeping & Supervisory Failures)
February 03, 2026FINRA Introduction On January 30th, 2026, FINRA fined and censured a Broker Dealer for $750,000 for failing to properly supervise[...]
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Retail Alts Compliance Considerations
February 02, 2026Vigilant Insights Introduction The landscape of Alternative Investments has expanded significantly over the last decade, with Retail Investors gaining access[...]
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Vigilant Compliance Newsletter | January 2026
January 30, 2026Monthly Newsletter Printer Friendly Version In January, there were important releases including Vigilant Announcements, Vigilant Insights, and SEC Releases. Below[...]
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Navigating Private Fund Marketing Rules | Vigilant Insights
January 28, 2026Vigilant Insights Introduction Private Fund Managers continue to face increasing scrutiny around how they market their strategies, performance, and expertise.[...]
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Custody Rule Violations and Compliance Gaps Drive SEC Order
January 25, 2026SEC Releases Introduction On January 20, 2026, the SEC issued an administrative enforcement order against two RIAs (both wholly owned[...]
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Marketing Rule FAQ Updates | Maxwell Baker Insights
January 21, 2026Vigilant Insights Introduction The SEC has issued updated guidance to its Marketing Rule FAQs, aiming to address on-going industry confusion[...]
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