Broker-Dealers Archives - Jacko Law Group

Considerations for Private Placement Investments

December 20, 2022 by M. Jacko

Today’s current economic marketplace is dynamic. Particularly when volatility peeks in the financial markets, investors and asset managers seek new opportunities for diversification. Thus, alternative investments are an increasingly important part of an investment portfolio.… Read More

Breakaway & Transition | Broker-Dealers | Media Mentions

Jeremiah Baba Pagano Quoted in Barron’s Adviser

August 17, 2022 by Jeremiah Baba Pagano

Attorney Jeremiah Baba Pagano was quoted in a Barron’s Adviser blog post titled “6 Missteps that Trip Up Brokers Who Leave Big Wall Street Firms,” on August 17, 2022. Within the post, Jeremiah explains how tax implications are often an afterthought … Read More

Blog | Client Contracts, Independent Contractor & Employee Agreements & Other Documents | Contract Review | Labor & Employment Law Services | Outsourced-General Corporate Counsel

Essential Checklist for Employee Contracts and Onboarding

May 19, 2022 by Jeremiah Baba Pagano

Establishing the talent to manage the steady increase of clients and employee turnover from COVID-related changes has created a trending issue for any industry. But the demand of the job market often underscores the value of a comprehensive employee contract … Read More

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

Additional Document Production: Key Elements to the Secondary Request

March 24, 2022 by Jacko Law Group, PC

One common misconception about responding to the U.S. Securities and Exchange Commission’s (“SEC’s”) initial request for documents as part of an examination or routine sweep is that the document production phase has ended. On occasion, it has basically just begun. … Read More

Blog | Regulatory Examinations & Enforcement Counsel

Don’t Panic! Three Things to Remember when Contacted by SEC/FINRA

November 12, 2021 by Jacko Law Group, PC

One of the more frequently asked questions our team at Jacko Law Group, PC (“JLG”) answers is whether to (and how to) respond when contacted by the state or federal securities regulators, including the U.S. Securities and Exchange Commission (“SEC”).

Legal Risk Management Tips | Regulatory Examinations & Enforcement Counsel

How to Engage in Dialogue with an SEC Examiner

October 26, 2021 by M. Jacko

Michelle Jacko wrote the blog post, “How to Engage in Dialogue with an SEC Examiner,” for Jacko Law Group in October, 2021.… Read More

Annual Reviews & Risk Assessments | Blog

Protecting Your Firm Through Risk Management

June 3, 2021 by Jacko Law Group, PC

You have successfully formed your investment advisory firm and your business is up and running. Now you want to ensure that your firm remains in compliance with the SEC, FINRA and state regulators so that, in the event a regulatory agency DOES come knocking, you are ready to handle the examination.

Legal Risk Management Tips

Remarkable Growth in ESG Investing Prompts New SEC Task Force Focused on Red-Flagging Examples of Corporate Greenwashing

May 24, 2021 by Jacko Law Group, PC

Jacko Law Group wrote the article “Remarkable Growth in ESG Investing Prompts New SEC Task Force Focused on Red-Flagging Examples of Corporate Greenwashing,” in May 2021.… Read More

Blog | FINRA Broker-Dealer Regulatory Counsel

Five Investor Protections to Remember When Finalizing FINRA Pre-dispute Arbitration Agreements

May 18, 2021 by M. Jacko

Investment advisers should promptly review language used in mandated pre-dispute arbitration agreements in response to Regulatory Notice 21-16 recently issued by the Financial Industry Regulatory Authority (FINRA). The Notice serves as a cautionary yellow light for firms that may be inclined to limit investor protections by improperly including adviser-friendly terms that ignore specific FINRA disclosure requirements.

Blog

The Advantages of Outsourcing Your General Corporate Counsel

May 7, 2021 by Jacko Law Group, PC

With greater scrutiny coming from the SEC, FINRA and state regulators, firms across the financial industry have turned to outsourced general counsel to assist with both regulatory compliance matters and traditional corporate counsel needs.