Regulatory Examinations & Enforcement Counsel Archives - Jacko Law Group

Michelle L. Jacko, Esq.

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Red Oak Compliance Conference Featuring Michelle Jacko

January 20, 2023 by M. Jacko

April 23-26, 2023 | 2023 Red Oak User Conference | Speaker: Michelle L. Jacko, Managing Partner We are excited to announce that Managing Partner Michelle L. Jacko will be the Keynote speaker for the 2023 Red Oak User Conference from April 23-26, 2023. … Read More

Investment Advisers | Podcast | Podcast SEC | Regulatory Compliance | Regulatory Examinations & Enforcement Counsel | Video Library

Do’s and Don’ts of Document Production for the SEC

July 25, 2022 by M. Jacko

Investment Adviser Regulatory Counsel (SEC & State) | Podcast | Podcast SEC | Regulatory Examinations & Enforcement Counsel | Video Library

Red Flags: How to Prepare Your Team For An SEC Visit

July 20, 2022 by M. Jacko

Blog | IA Marketing Rule Counsel | Regulatory Compliance | Regulatory Examinations & Enforcement Counsel

Establishing Compliance with the New SEC Marketing Rule

July 14, 2022 by M. Jacko

For years, investment advisers have had their hands tied when it comes to promoting their success through the use of client testimonials. Such marketing efforts, such as positive client endorsements on LinkedIn, have long been prohibited from promotion. Now, with … Read More

Investment Adviser Regulatory Counsel (SEC & State) | Podcast | Podcast SEC | Regulatory Examinations & Enforcement Counsel | Video Library

Three Things To Remember For Staff Interviews During An SEC Visit

July 13, 2022 by M. Jacko

Private Fund

Investment Adviser Regulatory Counsel (SEC & State) | Podcast | Podcast SEC | Regulatory Examinations & Enforcement Counsel | Video Library

Additional Document Production Key Elements To The Secondary Request

July 13, 2022 by M. Jacko

Understanding Elements the SEC is Trying to Identify During an Examination

Investment Adviser Regulatory Counsel (SEC & State) | Podcast | Podcast SEC | Regulatory Examinations & Enforcement Counsel | Video Library

Three Steps to Take For A Positive SEC Exam Experience

July 12, 2022 by M. Jacko

Investment Adviser Regulatory Counsel (SEC & State) | Podcast | Podcast SEC | Regulatory Examinations & Enforcement Counsel | Video Library

11 Common Themes We See In Recent SEC Examinations

July 6, 2022 by M. Jacko

Investment Adviser Regulatory Counsel (SEC & State) | Podcast | Podcast SEC | Regulatory Examinations & Enforcement Counsel | Video Library

Important Considerations For Your Initial Examination Document Request

July 6, 2022 by M. Jacko

FINRA Broker-Dealer Regulatory Counsel | Investment Adviser Regulatory Counsel (SEC & State) | Podcast | Podcast SEC | Regulatory Examinations & Enforcement Counsel | Video Library

Don’t Panic! Three Things to Remember When Contacted By The SEC FINRA

June 29, 2022 by M. Jacko

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