In March, we saw important SEC/FINRA Releases and important insights from Vigilant.
Below is a brief overview of what took place in the month of March, and what is approaching for April.
New Rules, Regulations, and Guidance
- 4/11/22 – Schedule 13G Monthly
- 4/11/22 – Form 13H Quarterly
- 4/15/22 – Form PF Liquidity Fund Quarterly
- 4/28/22 – MIFIDPRU Periodic Reporting
- 4/30/22 – Form PF Annual
- 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:
- 4/6/22 – Open Meeting
- 4/7/22 – Closed Meeting
- To see upcoming 2022 SEC Meetings and Public Appearances click HERE!
- FINRA recently released a Cybersecurity Alert to warn Advisor Firms and their clients of potential Russian cyberattacks targeting US organizations.
- Vigilant has provided 7 tips to prevent a potential Cyber Attack from occurring that can be found by clicking here!
- On March 30th, the Division of Examinations (“EXAMS”) released the 2022 Examination Priorities.
- To learn more about the areas that were covered, Vigilant’s key takeaways, and Vigilant’s final conclusion, click here!
- 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 decisions.
- To learn more about who this impacts, what information needs to be disclosed, Vigilant’s final conclusion, and more, click here!
- FINRA released a Regulatory Notice on March 17th, stating that they consider the role of the Chief Compliance Officer (“CCO”) to be an advisory position rather than a supervisory one.
- To view the brief synopsis of the Regulatory Notice 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!