Securities Regulatory and Compliance Lawyers for your Chicago Business

Jacko Law Group, PC is the leading securities regulatory and compliance law firm for businesses in the finance and securities sector.

With decades of experience including in-house roles, Jacko Law Group can bring a fundamental understanding of the challenges you face, to help you meet your business compliance and regulatory needs with confidence.



    17+

    years helping businesses thrive.

    1000+

    businesses served.

    20,000+

    Business contracts.

    SECURITIES REGULATORY AND COMPLIANCE LAW SERVICES FOR YOUR CHICAGO FIRM

    Regulatory Compliance

    We help firms develop and maintain robust, current compliance programs that meet SEC, FINRA, and state regulatory requirements.

    Exit Planning

    We provide business owners with knowledgeable and strategic exit planning services that incorporate preparing for a successor and setting up the right tax structure to give them the tools to exit their business on their terms and protect their future dreams and goals.

    Examinations & Enforcement

    Jacko Law Group helps businesses meet the stringent rules set by regulatory agencies. We work with them to prepare and demonstrate compliance during annual examinations and offer representation during enforcement procedures.

    M&A/Transition Services

    Jacko Law Group has decades of experience helping businesses with their Mergers and Acquisitions needs, and other business transitions. We develop a comprehensive strategy that addresses potential issues, so our clients can consolidate businesses with confidence.

    Formations & Registrations

    We offer legal counsel for businesses forming and registering an entity. With experience in complex business structure and tax planning, we provide a strategic roadmap that sets our clients up for success and provides protection from foreseeable challenges.

    Private Fund Counsel

    We offer experienced legal counsel in global Private Fund services for partners and advisers to private funds. Our attorneys understand the complex variables involved in setting up the right entity, addressing regulatory concerns, and considering tax implications.

    A Securities Regulatory and Compliance Law Firm Your Chicago Business Can Rely On

    The team at Jacko Law Group has helped businesses in Chicago and around the country with their securities regulatory and compliance obligations. We are a dedicated partner to our clients and provide counsel, strategy, and support to meet the requirements of the SEC, FINRA, and states.

    Our experienced legal team offers a comprehensive list of securities regulatory and compliance services including, formations and registration, regulatory filings, examination and enforcement counsel, exam preparation, Form U5 services, expert witness services, and regulatory counsel for investment advisers, private funds, investment companies and broker-dealers.

    Setting the bar in securities regulatory and compliance law for Chicago firms, Jacko Law Group works to ensure that your business remains compliant in this highly regulated industry.

    We strive to be the best Regulatory and Compliance Lawyers for your Chicago business, and we appreciate the recognition

    HOW TO CHOOSE THE RIGHT SECURITIES REGULATORY AND COMPLIANCE LAW FIRM FOR YOUR CHICAGO, ILLINOIS BUSINESS

    Jacko Law Group attorneys understand the importance of selecting the right securities regulatory and compliance lawyer for your Chicago-based firm. When we speak to firms in Chicago, our regulatory attorneys discuss the compliance needs of the client, their expectations, and their current compliance efforts. Our lawyers comprehend the challenges businesses in Chicago face in meeting their securities regulatory compliance obligations. There is a plethora of factors that firms may not be aware of, which is why we take the time to explain the requirements, do due diligence, and develop a strategic approach that addresses the strengths and weaknesses of their regulatory compliance program.

    Jacko Law Group uses our extensive knowledge of the rules and regulations that govern investment advisers, broker-dealers, investment companies, and advisers to private funds to strategize and develop an effective compliance program that our attorneys can put into effect to protect our Chicago clients.

    Chicago businesses have many securities regulatory and compliance attorneys to pick from but working with Jacko Law Group provides them with the knowledge that their compliance needs are in the hands of experienced lawyers.

    Read More

    What do Securities Regulatory and Compliance Lawyers in Chicago, IL do?

    Investment advisers, broker-dealers, investment companies, advisers to private funds, and other professionals in the finance and securities sector are under strict guidelines to protect the investors they work with. Failure to do so can result in disciplinary actions such as fines or even suspension. Chicago businesses in this sector must uphold securities regulatory and compliance requirements. Attorneys versed in this practice area can help firms develop and maintain securities regulatory and compliance programs, prepare clients for examinations, and counsel them through enforcement proceedings.

    Hiring a Trustworthy Securities regulatory and compliance Lawyer in Chicago, Illinois

    Businesses in Chicago seeking securities regulatory and compliance lawyers should seek experienced counsel skilled in working with Chicago-based firms and can offer sophisticated, well-thought-out plans to address existing or potential securities regulatory and compliance issues.

    When you work with the best securities regulatory and compliance attorneys, they become partners committed to the success and protection of your Chicago business. They can identify strengths and address weaknesses in your compliance plan and provide legal counsel and representation when needed.

    When interviewing securities regulatory and compliance lawyers for your Chicago business, it is important to understand the cost of their services and their payment structure. A reputable securities regulatory and compliance attorney servicing Chicago clients will be transparent about their payment structure. In speaking with them, the attorney will be able to tell if they are a good fit and can work towards building a strong securities regulatory and compliance attorney-client relationship.

    Choosing Chicago Securities Regulatory and Compliance Lawyers for Highly Regulated Industries

    In highly regulated industries like finance and securities, selecting the right securities regulatory and compliance attorney for your Chicago-based business is paramount to the ongoing success of your firm. It is important to select the right lawyer experienced in securities regulatory and compliance issues, with a proven track-record in finance and securities and helping businesses like yours.

    Jacko Law Group securities regulatory and compliance lawyers work with Chicago-based firms including broker-dealers, registered investment advisers, investment companies, and broker-dealers to ensure that they meet the compliance requirements set out by the SEC, FINRA, and the state of Illinois. With decades of combined experience and proven know-how, the lawyers at Jacko Law Group can help Chicago firms meet their securities regulatory and compliance requirements.

    If you are a broker-dealer, investment adviser, investment company, adviser to a private fund, or other professional in the financial securities sector based in Chicago and are looking for a securities regulatory and compliance lawyer, we welcome you to contact Jacko Law Group at 619.298.2880 to discuss your securities regulatory and compliance needs.

    Read Less

    Hire Our Experienced Business Lawyers!

    Get in touch with one of our business lawyers today by filling out the form below or, if you prefer, by calling or emailing us today.
    Phone:
    (619) 648-2283
    Email:
    JLGattorneys@jackolg.com




      Looking for your next general counsel for your
      Chicago firm?

      Chicago Securities Regulatory and Compliance Lawyers
      Frequently Asked Questions (FAQs)

      Securities regulations are the rules and regulations set by governing bodies to ensure that companies and professionals in the finance and securities industries maintain integrity and engage in transparent and ethical practices.

      SEC compliance is the enforcement of rules and regulations set by the US Securities and Exchange Commission (SEC) over professionals in the finance and securities sectors to ensure the protection of investors and encourage ethical practices.

      Regulatory compliance is the adoption of regulations by companies and professionals in a specific industry which have been put forth by federal agencies tasked with overseeing that sector.

      Securities regulatory and compliance lawyers help businesses operate within the regulations that apply to their industry. They are knowledgeable of the laws and rules of a specific sector and play a crucial role in protecting their clients from failing to meet their regulatory requirements.

      Jacko Law Group provides a range of securities regulatory and compliance legal services that address the needs of Chicago businesses including representing our clients in enforcement actions. We counsel them throughout the process, help them address the demands of the agency, and work with them to mitigate any risk of future enforcement actions.

      Securities regulatory and compliance attorneys serving Chicago businesses work with investment advisers, broker-dealers, investment companies, advisers to private funds, and other financial industry professionals to provide business solutions and mitigate securities and regulatory compliance risks.

      Jacko Law Group offers a customized approach to meet the unique needs of each of our Chicago clients. We offer several payment structures depending on the complexity of the services provided.

      Jacko Law Group is the leading Securities Regulatory and Compliance law firm for businesses and in the finance and securities sector. We bring years of experience, in-depth knowledge of the laws and regulations, and a 360-degree approach to serving the needs of our Chicago clients.

      Jacko Law Group provides securities regulatory and compliance legal services to businesses in finance and securities nationally and internationally, in accordance with the laws in those jurisdictions.

      To learn more about our services, contact us at 619.298.2880 to schedule a consultation.