SEC Releases
SEC Charges Investment Adviser and its Associated Individuals for Violating Regulation SHO
SEC Releases | SEC Enforcement Action On August 17th, 2021, the SEC announced that they charged an Investment Adviser and its Associated Individuals for providing […]
Read MoreSEC Issues $1 Million Fine Regarding a Cyber Breach for Mislead Investors
SEC Releases | Cybersecurity On August 16th, 2021, the SEC announced that they charged a London-based public company with a $1 Million fine for […]
Read MoreDivision of Examinations Releases Risk Alert about Examining Investment Advisers that Manage Client Accounts Participating in Wrap Fee Programs
Division of Examinations Releases Risk Alert about Examining Investment Advisers that Manage Client Accounts Participating in Wrap Fee Programs | SEC Releases On July 21st, […]
Read MoreDivision of Examinations Releases Risk Alert about Examining Investment Advisers on Principal and Cross Trades
Division of Examinations Releases Risk Alert about Examining Investment Advisers on Principal and Cross Trades | Risk Alerts On July 21st, the Division of Examinations […]
Read MoreReceiving Transaction-Based Compensation? You Must Be Registered As A Broker-Dealer.
SEC Charges Electronic Trading Platform | SEC Release On June 29th, 2021, the SEC announced that Neovest, Inc. failed to register as a broker-dealer in […]
Read MoreSEC Commissioner Provides Updates Towards Climate, ESG, and More
SEC Release On June 28th, 2021, the 2021 Society for Corporate Governance National Conference took place, where there were large discussions on Climate […]
Read MoreESG Rules Update from Commissioner Elad L. Roisman
Vigilant Insights | SEC Release On June 22nd, 2021, the SEC posted a speech regarding ESG Rules and if the SEC will make them sustainable. The […]
Read MoreSEC Announces Annual Regulatory Agenda for Spring 2021
Vigilant Insights On June 11th, 2021, the SEC announced the Spring 2021 Unified Agenda of Regulatory and Deregulatory Actions. The SEC highlighted that […]
Read MoreS&P Dow Jones Indices Gets Charged with Failures Relating to Volatility-Related Index
On May 17th, 2021, the SEC settled charges with S&P Dow Jones Indices for Failures Relating to Volatility-Related Index for which they agreed to a cease-and-desist order […]
Read MoreEXAMS Provides a Risk Alert on their Review of ESG Investing
On April 9th, 2021 the Division of Examinations (EXAMS) released a Risk Alert on their Review of ESG Investing. Recently, there has been increasing investor […]
Read MoreDivision of Examinations Provides a Risk Alert Regarding AML Requirements
On Monday (March 29th, 2021) the Division of Examinations (“EXAMS”) released a Risk Alert regarding examinations they conducted from Broker-Dealers and Mutual Funds on their compliance with AML […]
Read MoreSEC Ad Rule gets an Official Date in Effect for May 4th
After awaiting an announcement regarding when the Ad Rule will take effect from the delay that was given by the White House we now have a set […]
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