Published on May 18th, 2021 |

With less than one week to go it is important to register for Vigilant’s ESG Investing webinar with Paul Hastings, LLP. To register for the event on May 25th, 2021 at 1:00 PM ET click HERE.

For the month of April there was lots of content provided from Vigilant and an important Risk Alert regarding ESG Investing. There are also a considerable number of events and upcoming filings for the month of May to be aware of as well.

To learn more about what happened in the month of April see below!

New Rules, Regulations, and Guidance

Upcoming Filings:

  • 10-Q deadline is May 10th, 2021.
  • NT-10-Q deadline is May 11th, 2021.
  • BE-185 deadline is May 15th, 2021.
  • Late 10-Q deadline is May 17th, 2021.
  • Form CTA-PR deadline is May 17th, 2021.
  • TIC Form S deadline is May 17th, 2021
  • Form 13F deadline is May 17th, 2021.
  • TIC Form SLT deadline is May 24th, 2021.
  • Periodic Report for CPOs deadline is May 30th, 2021.
  • Quarterly update to Form PF due for all “large hedge fund advisers” deadline is May 30th, 2021.
  • Form PQR for all CPOs deadline is May 31st, 2021.
  • To stay up to date with the SEC Filing Deadlines in 2021 click HERE to view Vigilant’s Filing calendar.


  • National Crowdfunding & FinTech Association of Canada Toronto Finance International is on May 11th at 3:55 PM ET.
  • The Wall Street Journal’s, “The Future of Everything Festival” is on May 12th at 10:00 AM ET.
  • Protecting Older Americans from Financial Fraud is on May 12th at 10:00 AM ET.
  • Capital Market Strategies: Trading and Best Execution Summit – US is on May 13th at 12:00 PM ET.
  • To see upcoming 2021 SEC Meetings and Public Appearances click HERE.




Vigilant Insights:

  • The Thought Leaders at Vigilant created a Snapshot of the Marketing Rule to summarize the key points of the Rule.
    • As the SEC Marketing Rule is now effective, as of May 4th (Compliance Date is November 22nd, 2022), it is important to have a strong understanding of what is to come and how this may impact your business. To view Vigilant’s Resource Guide and Vigilant’s Managing Director, Chuck Martin’s insights on the new Rule click HERE.
  • Vigilant’s Managing Director, Perpetua Seidenberg, CPA, MCA, IACCP, provides insights towards Rule 6c-11 on NYSE “The ETF Exchange” Segment.
    • On April 14th, 2021, Vigilant’s Managing Director, Perpetua Seidenberg, provided her insights on ETF Rule 6c-11 for Investment Advisers and Asset Managers on NYSE’s series of The ETF Exchange. To view the full interview and see what she covers click HERE to learn more.
  • Vigilant provides 5 forecasted trends in Compliance after Q1 to help YOU stay ahead, and become stronger, sailing into Q2.
    • To learn more about the 5 forecasted trends in Compliance provided by Vigilant click HERE.
  • Vigilant continues to expand its offerings with Vigilant Distributors.
    • Building upon our brand, Vigilant offers Distribution solutions to help further expand our offerings. We aligned our resources to our clients’ needs. This allows our clients to redeploy assets to provide improved outcomes for their investors. To learn more about Vigilant Distributors solutions and key takeaways click HERE.

SEC Releases:

  • The Division of Examinations (EXAMS) Helps Provide Clarity on Misleading and Beneficial Practices of ESG Investing.
    • On April 9th, 2021, the Division of Examinations focused on 3 key areas while conducting a review surrounding ESG Investing. The areas included Portfolio Management, Performance Advertising and Marketing, and Compliance Programs. To see effective practices and observations that were found misleading with ESG Investing click HERE.