SEC Regulations Blog | Jacko Law Group

SEC Cracks Down on New Marketing Rule: Titan Global Fined Over $1 Million.

August 23, 2023 by Jacko Law Group, PC

The U.S. Securities and Exchange Commission has charged Titan Global Capital Management over $1 million for violating the SEC’s new marketing rule. The New York-based RIA was charged with misrepresenting hypothetical performance metrics in advertising when it promoted a crypto investment strategy with returns as high as 2,700%.

The company is the first to face SEC enforcement actions under the new Marketing Rule, setting the precedence that the SEC is paying close attention to advisers who disregard or fail to meet the requirements of the investment adviser Marketing Rule. … Read More

SEC Proposes Rules on the Use of Predictive Data Analytics

August 1, 2023 by Jacko Law Group, PC

On July 26, 2023, the US Securities and Exchange Commission (SEC) adopted the cybersecurity risk rules relating to the reporting of incidents, processes, and procedures, as well as governance, in an ongoing effort to promote transparency and trust in US investment markets.… Read More

Blog | Events | Investment Adviser Regulatory Counsel (SEC & State) | Regulatory Examinations & Enforcement Counsel

Michelle Jacko to speak at the 2023 NSCP National Conference

May 29, 2023 by M. Jacko

Jacko Law Group Managing Partner and CEO Michelle Jacko, Esq. will join other industry leaders at the National Society of Compliance Professionals (NSCP) 2023 National Conference. The event will be held in Dallas, Texas from October 16-19, 2023. Michelle Jacko … Read More

Blog | Breakaway & Transition | Succession Planning Counsel | Transition & Breakaway Services

4 Advantages of Smart Wealth Management

May 4, 2023 by Jacko Law Group, PC

Business owners, as they begin to strategize and plan their exit and transition from their business, need to consider how to manage their wealth after they will no longer have the steady income, they have become accustomed to. According to … Read More

Blog | Breakaway & Transition | Succession Planning Counsel | Transition & Breakaway Services

Seven Questions to Answer for Proper Exit Planning

April 27, 2023 by Jacko Law Group, PC

As a business owner there are seven key questions you must consider before you sell or transition your business. The overall goal of these questions is to uncover what is important to you in your long-term succession or exit plan. … Read More

Blog | Breakaway & Transition | Succession Planning Counsel | Transition & Breakaway Services

Financial Planning 101: Four Essentials to Conquering Your Balance Sheet

April 20, 2023 by Jacko Law Group, PC

As business owners start to strategize and plan their exit or transition from their business they should take into consideration and work with professionals to create a financial plan, considering the impact of the forthcoming sale of their business. One … Read More

Blog | Breakaway & Transition | Succession Planning Counsel | Transition & Breakaway Services

Four Main Drivers of Financial Planning

April 6, 2023 by Jacko Law Group, PC

As the majority of business owners start to strategize and plan their exit or transition from their business as part of their retirement planning, they should consider the 4 main drivers of retirement financial planning. These drivers are (1) age … Read More

RCW Webinar Featuring Michelle Jacko

February 23, 2023 by M. Jacko

March 16, 2023 | Regulatory Compliance Watch Webinar | Speaker: Michelle L. Jacko, Esq. With the SEC’s new advertising rule in effect, is your firm prepared for the possibility of an examination? Ensure your firm is ready by attending … Read More

Blog | Events | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Regulatory Compliance

Michelle Jacko to Speak for NSCP Educational Seminar

February 8, 2023 by M. Jacko

March 21, 2023 | NSCP Educational Seminar | Speaker: Michelle L. Jacko, Managing Partner We are excited to announce that Managing Partner Michelle L. Jacko will be speaking at NSCP’s Educational Seminar on March 21, 2023. Michelle will present on, … Read More

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