FINRA Rule 5131 – How It Impacts Broker-Dealers And Private Funds
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled FINRA Rule 5131 – How It Impacts Broker-dealers And Private Funds in July, 2011.… Read More
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled FINRA Rule 5131 – How It Impacts Broker-dealers And Private Funds in July, 2011.… Read More
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Sec Adopts Rules Which Overhaul The Investment Adviser Regulatory Framework in June, 2011.… Read More
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
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Ongoing Sec Focus: Regulation S-P And Consumer Privacy in April, 2011.… Read More
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled The Sec Issues Responses To Form Adv Part 2 And Pay-to-play Rule Frequently Asked Questions in March, 2011.… Read More
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
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled The Sec Approves New, Expanded Rules On Know Your Customer And Suitability in January, 2011.… Read More
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
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled DOL Proposes Expansive New Definition Of “Fiduciary” Under ERISA in November, 2010.… Read More
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Sec Proposes “Say-on-pay” Regulation And Its Impact To Institutional Investment Managers in October, 2010.… Read More