California to Implement NASAA Continuing Education Model Rule in 2024

In November 2020, the North American Securities Administrators Association (NASAA) introduced the Continuing Education Model Rule to help firms and practitioners in the investment advisory space better serve their clients and maintain regulatory compliance. NASAA, which is tasked with promoting excellence in the securities industry, has expanded to 19 member states who have pledged to protect investors and promote integrity in the business by facilitating ongoing education for IARs. California is one of several states who will adopt the Model Rule in the upcoming year. … Read More

Considerations for Private Placement Investments

Today’s current economic marketplace is dynamic.  Particularly when volatility peeks in the financial markets, investors and asset managers seek new opportunities for diversification.  Thus, alternative investments are an increasingly important part of an investment portfolio.… Read More

What Transitioning Advisors Need to Know About Broker Protocol

Jacko Law Group, PC (“JLG”) continues to see a high volume of financial advisors transitioning from one broker-dealer or registered investment advisory firm to another.  When advisors[1] change firms in the heavily-regulated financial industry, they and the firms they are joining must understand federal and state laws, as well as contractual limitations and how those considerations will factor in to the transition process.… Read More

1 2 3 4