Published on Mar 1st, 2022 |

In February, we saw important SEC Releases and important insights from Vigilant.

Below is a brief overview of what took place in the month of February, and what is approaching for March.

Upcoming Filings:

  • 3/1/22 – NFA Annual Affirmation
  • 3/1/22 – Form CPO-PQR
  • 3/1/22 – Form PF Hedge Fund Quarterly
  • 3/10/22 – Schedule 13G Monthly
  • 3/31/22 – Form ADV Annual
  • 3/31/22 – CPO Annual Report
  • To stay up to date with the SEC Filing Deadlines in 2022, click HERE to view Vigilant’s Filing calendar.

Events & Public Appearances by Officials:

  • 3/3/22 – Closed Meeting
  • To see upcoming 2022 SEC Meetings and Public Appearances click HERE!

Vigilant Insights:

Vigilant’s 2022 Compliance Calendar

  • Vigilant released their 2022 Compliance Calendar which includes Filing Deadlines, Compliance Dates, and more that can be found here!

Vigilant Marketing Rule Survey Results

  • Individuals all throughout the Industry provided valuable feedback towards our Marketing Rule Survey.
  • To learn more about results of the survey and comments from the respondents, click here!

SEC Releases:

SEC Proposes Cybersecurity Rule for RIAs and Funds

  • 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 Operating Officer, Chuck Martin, also provided his insights on Ignites towards the Proposed Rule.
  • To learn more about what this Proposed Rule means for Advisers and Funds, additional proposed requirements, and Vigilant’s final conclusion click here!

SEC Proposes Multiple Rule Changes to Protect Investors

  • On February 25th, the SEC announced the release of proposed Rule changes to Short Sale Disclosures, Order Making Requirements, and CAT Amendments.
  • To learn more about the proposed rule changes and Vigilant’s final conclusion, click here!

The Vigilant Team is always happy to schedule a time to chat, feel free to contact us with any questions!