Published on Apr 4th, 2022 |

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

Upcoming Filings:

  • 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:

Vigilant Materials

Vigilant Insights:

7 Tips To Prevent A Cyber Attack

  • 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!

SEC/FINRA Releases:

SEC Releases 2022 Examination Priorities

  • 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!

SEC Proposes Rules For Climate-Related Disclosures

  • 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 Provides A Reminder Towards CCO Liability

  • 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!

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