Enforcement Archives - Vigilant LLC

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 […]

Reg BI May Be A Major Source Of Future Enforcement Action

Vigilant Insights Brief Introduction Under Regulation BI (“Reg BI”), Firms are expected to act in the best interests of their customers. This requires full and fair disclosing, reasonable […]

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SEC Enforcement Priorities and New Initiatives | David Woodcock Remarks

Reg BI May Be A Major Source Of Future Enforcement Action