Advances in Technology May Prompt the SEC into Revising Securities’ Registration Requirements
PostIn November of 2009, two advertising executives, and longtime fans of Pabst Brewing Company (“PBR”), attempted to purchase the company…
SEC Whistleblower Program Now In Effect
PostWith its new whistleblower program officially becoming effective on August 12, 2011, the SEC launched a new webpage for people to report violations of the federal securities laws and apply for a financial award. Prior to the enactment of the…
Massachusetts Adopts New Regulations Governing Use of Expert Networks
PostBeginning December 1st of this year hedge fund managers, private equity firms and investment advisers doing business in Massachusetts will need to have policies and procedures in place to address that state’s new regulations aimed at overseeing the use of…
Considerations for Structuring Finders Arrangements
PostHedge funds, private equity funds, venture capital funds and other types of private funds commonly utilize third parties to promote their funds and raise capital from potential investors. These third parties are commonly referred to as “finders.” When entering into…
FINRA Rule 5131 – How It Impacts Broker-Dealers And Private Funds
PostJacko 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
Use of Solicitors – What Investment Advisers Should Consider
PostRegistered investment advisers (“RIAs”) commonly engage accountants, attorneys, banks, broker-dealers and other third parties to solicit new investment advisory clients on the RIA’s behalf…
About
PostJacko Law Group, PC (JLG) offers clients high quality legal counsel and representation on all regulatory, compliance and securities law matters. With unsurpassed expertise in the increasingly complex and highly regulated financial securities industry, JLG is uniquely situated to…… Read More
SEC Adopts Rules Which Overhaul The Investment Adviser Regulatory Framework
PostJacko 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
In The Spotlight: California And New York City – New Regulations Governing Solicitation Of Public Pensions Funds
PostJacko 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
Ongoing SEC Focus: Regulation S-P And Consumer Privacy
PostJacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Ongoing Sec Focus: Regulation S-P And Consumer Privacy in April, 2011.… Read More