SEC Releases Archives - Page 10 of 10

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 […]

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 […]

Risk Alert | “Division” Examines Advisers Providing Electronic Investment Advice

SEC Releases | Risk Alert on Advisers Providing Electronic Investment Advice The Division of Examinations (the “Division”) released a Risk Alert yesterday, November 9th, with the goal […]