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Common Marketing Review Mistakes and How to Improve Them: A Guide for RIAs, RICs, and Broker Dealers
Vigilant Insights Introduction In the ever-evolving landscape of Marketing and Advertising, SEC Registered Investment Advisers (“RIAs”), SEC Registered Investment Companies (“RICs”), and FINRA Registered Broker-Dealers […]
Read MoreUpdated Marketing Rule FAQs Released
SEC Releases Introduction As anticipated by Vigilant, it was announced on March 19th, 2025, that the SEC has released updated FAQs surrounding the SEC Marketing Rule. This was originally hinted […]
Read MoreFeeling “Overwhelmed” by Marketing Review | Vigilant Solutions
Vigilant Insights Brief Introduction The SEC has recently released a Risk Alert describing the large amount of documents typically requested during SEC Examinations. With the SEC’s first enforcement action related […]
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