Q&A: IARD Conversion
Michelle L. Jacko published the article titled Q&A: IARD Conversion in National Society of Compliance Professionals (NSCP) Currents’ January/February 2001 publication. … Read More
Rule Approved by FINRA to Restrict Language in Conditioning Settlements Allowing CRD Expungement
A further turn in the arena of regulations toward client disclosures and agreements has taken place at the Financial Industry Regulatory Authority (“FINRA”), where a newly-approved rule on conditioning settlement agreements was detailed in a February 13, 2014 press release….
Extra, Extra, Read All About It: Guidance on Registration Requirement for Publishers of Newsletters
Oftentimes the question arises as to whether or not the publisher of an investment newsletter is required to register as an investment adviser. Section 202(a)(11) of the Investment Advisers Act of 1940 (the “Act”) broadly defines an investment adviser as…
California Department of Corporations Announces Proposed Changes to Investment Adviser Custody Rule
The California Department of Corporations (“DOC”) recently proposed amendments to the California investment adviser custody rule, Section 260.237 of Title 10 of the California Code of Regulations. The October 18, 2012 announcement follows an initial invitation for comments on the…
CFTC Publishes FAQs on Compliance Obligations for CPOs and CTAs
This week the Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) published a set of Frequently Asked Questions (FAQs) addressing compliance obligations for Commodity Pool Operators (CPOs) and Commodity Trading Advisors (CTAs). The FAQs address a…
FINRA Enhances BrokerCheck Capabilities
Enhancements to make FINRA’s BrokerCheck and Investment Advisor Public Disclosure (IAPD) systems more user-friendly went live last week. FINRA’s press release announcing the changes notes that they were implemented to ease investors’ access to information concerning brokers, investment advisers and…
SEC Adopts Form PF To Help Monitor Systemic Risk
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled SEC Adopts Form PF To Help Monitor Systemic Risk in November, 2011.… Read More
In The Spotlight: California And New York City – New Regulations Governing Solicitation Of Public Pensions Funds
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled In The Spotlight: California And New York City – New Regulations Governing Solicitation Of Public Pensions Funds in May, 2011.… Read More
SEC Proposes Significant Reporting Requirements For Investment Advisers To Private Funds
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Sec Proposes Significant Reporting Requirements For Investment Advisers To Private Funds in February, 2011.… Read More
The SEC Proposes New Exemptions For Advisers To Venture Capital Funds
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled The Sec Proposes New Exemptions For Advisers To Venture Capital Funds, Us Private Fund Advisers With Less Than $150 Million In Assets Under Management And Foreign Private Advisers in December, 2010.… Read More