Regulatory SEC Filings

At Jacko Law Group, PC (“JLG”), we provide regulatory filing services, including entity formations, registrations, SEC filings, and disclosure document submissions. Our attorneys work tirelessly to achieve an in-depth understanding of your business within the context of the rapidly-changing regulatory environment.

The team at JLG can assist with the following regulatory filings and requirements:

• Form ADV filings & renewals
• Form U4/U5
• Forms 13F/G/H/D filings
• Corporate filings
• Blue sky filings*
• Corporate formation (LLCs, S corps, etc.)
• SEC & FINRA application processes
• Assistance in completion of all registration documents, including Form BD (and BR), Form NMA , business plan & submission of supporting documents

JLG will work closely with you to thoroughly understand your business registration needs. Over the course of the project, we will keep an open, ongoing dialog with you about the progression of your filings and our communications with the regulatory agencies involved.

* As a general rule,  “blue sky” filings are required upon the offer or sale of securities in each state where an investor resides. For issuers seeking investors in multiple states, compliance with each state’s blue sky requirements is vital. JLG can assist you in preparing your filings and complying with the various deadlines and “blue sky” requirements for each applicable state.