SEC Releases Archives - Page 16 of 88

SEC Fines RIA $760k+ Over Wrap Fees

Brief Introduction | SEC Fines RIA $760k+ Over Wrap Fees Recently, the SEC fined an RIA Firm over $760,000+ over Wrap Fees. The RIA and its advisors […]

RISK ALERT | Investment Adviser MNPI Compliance Issues

Brief Introduction On April 26, 2022, the SEC Division of Examinations (“EXAMS”) noted common deficiencies related to Section 204A and the Code of Ethics Rule […]

SEC Proposes Rules Towards SPACs, Shell Companies, and Projections

Brief Introduction The SEC recently proposed new rules and regulations to increase investor protection in initial public offerings (IPOs) through special purpose acquisition companies (SPACs), as […]

SEC Releases 2022 Examination Priorities

Brief Introduction to the 2022 Examination Priorities On Wednesday, March 30th, the Division of Examinations (“EXAMS”) released the 2022 Examination Priorities. Vigilant has broken down the key […]

SEC Proposes Rules for Climate-Related Disclosures

Brief Introduction The SEC released proposed rule changes for certain climate-related disclosures on March 21st to provide investors with consistent, comparable, and decision-useful information for making their investment […]

SEC Proposes Multiple Rule Changes to Protect Investors

Brief Introduction On Friday, February 25th, the SEC announced the release of proposed Rule changes to Short Sale Disclosures, Order Making Requirements, and CAT Amendments. 4 Takeaways […]

SEC Proposes First Cyber Rule for RIAs and Funds

Brief Introduction On Wednesday, February 9th, the SEC released their Proposed Rule on Cybersecurity Risk Management and Amendments for Registered Investment Advisers and Funds. Vigilant’s Chief […]

Private Fund Adviser Deficiencies | EXAMS Risk Alert

On Thursday, January 27th, the Division of Examinations (“EXAMS”) released a risk alert on their observations from examining Private Fund Advisers. There were 4 key areas examined during EXAMS observations: […]

Proposing to Amend Form PF | SEC Release

On Wednesday, January 26th, the SEC announced that they voted on proposed amendments to enhance Private Fund Reporting. The goal of these proposed amendments is to assess systematic […]

SEC Chairman Update On Cybersecurity And Securities Laws

On Monday, January 24th, SEC Chairman, Gary Gensler, released a speech relating to Cybersecurity and Securities Laws. There were multiple areas focused on relating to where improvements can be […]

Staff Statement Regarding Form CRS Disclosures for 2022

Staff Statement Regarding Form CRS Disclosures for 2022 | SEC Releases As the new year begins, the SEC released a statement regarding Form CRS disclosures. The Committee […]

$4.5 Million Fine for Fee and Expense Disclosures | SEC Releases

Fee and Expense Disclosure Failures | SEC Releases On Monday, December 20th, the SEC released an Order announcing that they charged an RIA $4.5 Million for Fee and […]