Published on Feb 12th, 2021 |

2021 started off strong providing everyone with insightful information for the New Year.

Vigilant would like to highlight some important takeaways from the month of January!

New Rules, Regulations, and Guidance

Upcoming Filings:

  • To stay up to date with the SEC Filing Deadlines in 2021 click HERE to view Vigilant’s Filing calendar.


  • To see upcoming 2021 SEC Meetings and Public Appearances click HERE.



SEC Releases

  • On January 20th, the White House released an important announcement stating that there will be a 60 Day Delay on new rules that have not taken effect yet this year (e.g., have not been listed on the Federal Register).
    • To learn more about this release and Vigilant’s 4 Key Takeaways click HERE!                                                                  
  • Division of Examinations Addressed the Threat from Securities Associated with Chinese Military Companies.
    • The Division of Examinations (formerly known as OCIE) released a Risk Alert on Wednesday (1/6/21) notifying Investment Advisers, Broker-Dealers, and other market participants to investments in securities associated with Chinese Military Companies, as well as investors transacting in such securities. Want to learn more from Vigilant’s takeaways on this Risk Alert? Click HERE.                                      

Vigilant Insights

  • Vigilant’s Guidance on the New SEC Marketing Rule.
    • Since the SEC Released its New Marketing Rule, many RIAs have a lot of questions regarding it. The Thought Leaders at Vigilant created a simple two page summary guide to breakdown the new Rule for YOU. Click HERE to download Vigilant’s Guide on the New Marketing Rule.                                    
  • 2021 is finally here and the following are some Highlights from our Digital Impacts Last Year!
    • 2020 was a monumental year for Vigilant as we saw a large increase in our Digital Presence and provided more content than ever before. To see Vigilant’s 2020 Year in Review click HERE!