SEC Releases Archives - Vigilant LLC

Undisclosed Conflicts Lead to $125k SEC Enforcement

SEC Releases Introduction The SEC recently announced settled charges for a civil penalty of $125,000 against a former registered investment adviser representative for failing to […]

Chairman Atkins Outlines Regulatory Vision

SEC Releases Introduction In remarks delivered to the Economic Club of New York, SEC Chairman, Paul Atkins outlined his vision for returning the Commission to […]

Custody Rule and Annual Audit Failures Lead to $75,000 SEC Penalty

SEC Releases Introduction The SEC announced settled administrative proceedings against a $1.4 Billion ($22.3 Million in Pooled Investment Vehicles) RIA that served as the investment […]

SEC Enforcement Alert: Personal Trading and Compliance Lapses Lead to $1.5 Million Settlement

SEC Releases Introduction On June 8, 2026, the SEC announced settled charges against an RIA and its former CEO arising from alleged breaches of fiduciary […]

$201K Reg BI Enforcement Action: Lessons for Firms

SEC Releases Introduction The SEC charged a New York based Broker Dealer with failing to comply with Regulation Best Interest (“Reg BI”) in connection with Mutual Fund recommendations and […]

SEC Leadership Signals Regulatory Priorities in Latest Conference Remarks

SEC Releases Introduction At the SEC’s 13th Annual Conference on Financial Market Regulation, SEC Chairman Paul Atkins, SEC Commissioner Mark Uyeda, and SEC Commissioner Hester […]

SEC Charges Private Fund Adviser for Excess Fees and Misstatements

SEC Releases Introduction On April 9, 2026, the SEC filed a civil enforcement action against a Private Fund Investment Adviser and its Principal in the […]

SEC & CFTC Propose Form PF Changes to Reduce Private Fund Reporting Burdens

SEC Releases Introduction The SEC and CFTC jointly proposed amendments to Form PF aimed at reducing reporting burdens for Private Fund Advisers while still preserving […]

SEC FY25 Enforcement Results

SEC Releases Introduction The SEC’s Fiscal Year 2025 enforcement results signal a meaningful shift in how the agency approaches enforcement. While overall enforcement activity declined […]

Investment Company Growth and the Role of Regulation

SEC Releases Introduction On March 24, 2026, SEC Commissioner, Hester M. Peirce, made remarks at the ICI Conference, highlighting the expanding role of Investment Companies […]

SEC Leaders Discuss Disclosure Reform and Market Innovation

SEC Releases Introduction During the March 12, 2026, meeting of the SEC’s Investor Advisory Committee, SEC leadership discussed several important regulatory topics currently shaping the […]

SEC Chair Remarks on AI and Market Oversight

SEC Releases Introduction At a recent roundtable hosted by the Financial Stability Oversight Council as part of its AI Innovation Series, SEC Chair, Paul Atkins, […]