Published on Oct 8th, 2021 |


Vigilant Newsletter | September 2021


In Case You Missed It:

Due to the overwhelming demand for our New Marketing Rule Webinar on Wednesday, the platform unfortunately crashed!

Thankfully, we are able to provide everyone with a Recording of the Webinar.

Please click here to view our Replay, and if you have any questions or inquiries for Vigilant click here to contact us.

September brought some important insights from the thought leaders at Vigilant, as well as some SEC Releases.

Also, there are many upcoming filings for the month of October.

To learn more about what took place in the month of September and what is coming up, keep scrolling!

New Rules, Regulations, and Guidance

Upcoming Filings:

  • 10/12/21-Quarterly Form 13H Amendment due
  • 10/15/21-TIC Form S due
  • 10/25/21-TIC Form SLT due
  • 10/30/21-Quarterly Transaction Reports due
  • 10/30/21-Periodic Report for CPOs
  • To stay up to date with the SEC Filing Deadlines in 2021 click HERE to view Vigilant’s Filing calendar.



Vigilant Insights:

Important Information Regarding the NEW Upcoming Cybersecurity Rule

  • On September 15th, 2021, Ignites released a cybersecurity article discussing SEC Chairman Gary Gensler’s Senate Committee hearing, which revealed that the SEC may soon propose a rule that would require companies to have standardized cybersecurity systems and to monitor their digital risks.
  • Vigilant’s Justin Dausch, Esq., Director was quoted in this article here.

10 Things Every Broker-Dealer Needs to Know About FINRA Rule 2210

  • FINRA Rule 2210 is a comprehensive regulation governing the approval, review, and recordkeeping of a broker-dealer’s communications and correspondence.
  • Vigilant has broken down some of the many essential points to be aware of regarding FINRA 2210 to help you guide your communication and correspondence with retail and institutional investors. Click here to learn more!

SEC Releases:

SEC May Potentially Forbid Trading for 270 China-Related Companies by early 2024

  • On September 13th, 2021, SEC Chairman, Gary Gensler, stated that the SEC may need to forbid trading in approximately 270 China-related companies by early 2024. Leading factors for this relates to the accounting scandals from Enron and WorldCom.
  • Click here to read the release and Vigilant’s Takeaways on our blog.


Who is Vigilant and what do they have to offer?

Vigilant is a full-service Investment Management Solutions Firm.

Vigilant offers core solutions that you will find below:

  • Compliance Solutions
    • Investment Adviser
    • Mutual Fund
    • Private Equity
    • Hedge Funds
    • Exchange Traded Funds
    • Broker Dealer

Want to learn more about Vigilant?

Click HERE to view our new website and to see everything we have to offer.