Trading Compliance
Jacko Law Group P.C. (“JLG”) wrote the article titled Trading Compliance which was published in the Charles Schwab Compliance Review’s September 2012 issue. … Read More
Jacko Law Group P.C. (“JLG”) wrote the article titled Trading Compliance which was published in the Charles Schwab Compliance Review’s September 2012 issue. … Read More
Yesterday the Securities and Exchange Commission instituted administrative proceedings against nationally syndicated radio personality and author Raymond J. Lucia. Lucia is the owner of Raymond J. Lucia Companies, Inc., a former federally registered investment adviser doing business as RJL Wealth…
ERISA Rule 404a-5 was enacted in order to provide greater transparency to investors in 401(k) type pension plans. The rule was adopted two years ago, but the August 30, 2012 deadline for plan administrators to issue the required disclosures is…
FINRA recently published Regulatory Notice 12-25 to provide broker-dealers with additional guidance on the SRO’s new suitability rule, which took effect on July 9th. The new suitability standards under Rule 2111 were approved by the SEC in November, 2010. They were initially…
Jacko Law Group P.C. (“JLG”) wrote the article titled Practical Compliance tips for Best execution Analysis which was published in the National Society of Compliance Professionals (NSCP) Currents’ July/August 2012 publication. … Read More
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Erisa 408(b)(2) Disclosures: Are You Ready? in June, 2012.… Read More
The prohibited transaction provisions of ERISA limit arrangements and payments to service providers to ERISA-covered retirement plans, including investment advisers, which may involve conflicts of interest with respect to the use of plan assets. An exemption from the prohibited transaction…
On October 3, 2011, Rule 13h-1 went into effect which, among other things, requires “large traders” to begin identifying themselves to the SEC on December 1st by filing Form 13H. Under Rule 13h-1, a “large trader” is defined as a…
Last month, FINRA proposed Rule 5123 which, if adopted by the SEC, would have a huge impact on broker-dealers that offer or sell any security conducted in reliance on an exemption from registration under the Securities Act (i.e., a private…
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled New Disclosure Obligations For Service Providers To Erisa Plans in August, 2011.… Read More