SEC Releases Archives - Vigilant LLC

Fair Value Measurement and Disclosure Considerations for Private Assets

SEC Releases Introduction On September 28, 2026, Chief Accountant, Kurt Hohl, and Director – Division of Investment Management, Brian Daly, issued a statement highlighting valuation […]

SEC FY 2027 Examination Priorities | Key Takeaways

SEC Releases Introduction On October 23, 2026, the SEC’s Division of Examinations (“Division”) released its Fiscal Year 2027 Examination Priorities, identifying areas the Division believes […]

SEC Enforcement Priorities and New Initiatives | David Woodcock Remarks

SEC Releases Introduction On September 18, 2026, SEC Division of Enforcement Director, David Woodcock, delivered remarks outlining the Division’s enforcement priorities and recent initiatives. The […]

Private Fund Valuation and Reporting Failures Draw SEC Action

SEC Releases Introduction On October 9, 2026, the SEC announced a settled enforcement action against a New York-based Investment Adviser that managed four investment funds […]

SEC Enforcement Highlights Undisclosed Conflicts of Interest in Adviser Referral Practices

SEC Releases Introduction On September 28, 2026, the SEC announced settled charges against an RIA that operated a service matching individuals with Third-Party Investment Advisers. The […]

SEC Proposes Amendments to Expand Retail Access to Private Markets

SEC Releases Introduction On September 30, 2026, the SEC proposed Amendments intended to expand retail investor access to Private Market Investments and modernize Regulated Fund […]

SEC Publishes New Examination Handbook

SEC Releases Introduction On October 1, 2026, the Securities and Exchange Commission’s (“SEC”) Division of Examinations (“EXAMS”) published a new SEC Exam Handbook. The Handbook […]

SEC Risk Alert | Annual Compliance Review Observations

SEC Releases Introduction On September 14, 2026, the SEC Division of Examinations issued a Risk Alert highlighting observations from recent examinations regarding Investment Advisers’ annual […]

Form 13F Filing Failures | $500k Penalty

SEC Releases Introduction The SEC recently announced settled charges for $500,000 against a Dually Registered Investment Adviser and Broker Dealer for failing to file required […]

“Pay-to-Play” Rule | SEC Proposes Rescission

SEC Releases Introduction On September 3, 2026, the SEC proposed rescinding Rule 206(4)-5 under the Investment Advisers Act of 1940, commonly known as the “Pay-to-Play […]

SEC Risk Alert | Lost Securityholder Rule Compliance

SEC Releases Introduction The SEC’s Division of Examinations issued a Risk Alert on August 28th, 2026, regarding compliance with Exchange Act Rule 17Ad-17, known as […]

SEC Enforcement: Pre-IPO Fund Practices Under Scrutiny

SEC Releases Introduction On August 10, 2026, the SEC charged a New York Investment Adviser that managed Private Funds investing in Pre-IPO Companies (such as […]