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 Issues Partial Stay of Conflict Minerals Rules
May 02, 2014The Securities and Exchange Commission today issued an order staying the effective date for compliance with the portions of Exchange[...]
Read ArticleChief Economist and Division of Economic and Risk Analysis Director Craig Lewis to Leave SEC
May 02, 2014The Securities and Exchange Commission today announced that Chief Economist and Division of Economic and Risk Analysis (DERA) Director Craig[...]
Read ArticleSEC Charges NYSE, NYSE ARCA, and NYSE MKT for Repeated Failures to Operate in Accordance With Exchange Rules
May 01, 2014The Securities and Exchange Commission today announced an enforcement action against the New York Stock Exchange and two affiliated exchanges[...]
Read ArticleSEC Charges Utah-Based Retirement Plan Administrator With Defrauding Investors
April 30, 2014The Securities and Exchange Commission today announced fraud charges and an asset freeze against a Utah-based retirement plan administrator who[...]
Read ArticleSEC Charges Six Individuals With Insider Trading in Stock of E-Commerce Company Prior to Acquisition by eBay
April 25, 2014The Securities and Exchange Commission today charged a former executive with insider trading in advance of eBay’s acquisition of the[...]
Read ArticleSEC Issues Stop Order to Prevent Northern California Company From Issuing Stock Under Amended Registration Statement
April 23, 2014The Securities and Exchange Commission today issued a stop order to prevent a Northern California-based company from issuing stock after[...]
Read ArticleSEC Charges Former Stock Promoter With Defrauding Investors in Florida Real Estate Venture
April 23, 2014The Securities and Exchange Commission today filed fraud charges against a former Florida-based stock promoter currently serving a two-year prison[...]
Read ArticleSEC Charges Technology Company Insider in California With Tipping Confidential Information Exploited by Hedge Funds
April 23, 2014The Securities and Exchange Commission today filed insider trading charges against a former accounting manager at Nvidia Corp. who tipped[...]
Read ArticleMauri Osheroff to Retire After Nearly 40 Years at SEC
April 23, 2014The Securities and Exchange Commission today announced that Mauri L. Osheroff, associate director for regulatory policy in the Division of[...]
Read ArticleSEC Charges a Former Biopharmaceutical Company Executive and Two Others with Insider Trading
April 21, 2014The Securities and Exchange Commission today charged a former biopharmaceutical company executive and two others with insider trading on confidential[...]
Read ArticleSEC Halts Pyramid Scheme Targeting Dominican and Brazilian Immigrants
April 17, 2014The Securities and Exchange Commission today announced that on Tuesday it filed charges against the Massachusetts-based operators of a large[...]
Read ArticleSEC Proposes Rules for Security-Based Swap Dealers and Major Security-Based Swap Participants
April 17, 2014The Securities and Exchange Commission voted yesterday to propose new rules for security-based swap dealers and major security-based swap market[...]
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