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Important Actions to Take When Responding to an SEC Deficiency Letter

Home » Blog » Important Actions to Take When Responding to an SEC Deficiency Letter
Blog

Tips on How to Produce the Right Document for an Examination

March 10, 2022 by Jacko Law Group, PC

Firms registered with the U.S. Securities and Exchange Commission (SEC), should regularly ask themselves when – not if – they will be examined. With that in mind, the team at Jacko Law Group, PC (“JLG”) has a few best practices on how to prepare for the SEC’s inevitable request for document production.… Read More

Common Themes
Blog

Common Themes We’re Seeing in 2021 SEC Examinations

February 18, 2022 by Jacko Law Group, PC

From first-hand experience, we’ve learned the primary area of focus for U.S. Securities and Exchange (“SEC”) examiners this year is protecting the retail investor, with an emphasis on those saving for retirement, aging clients, and cybersecurity.… Read More

SEC Deficiency Letter
Blog | Other

Important Actions to Take When Responding to an SEC Deficiency Letter

February 10, 2022 by Jacko Law Group, PC

A deficiency letter from the SEC isn’t the end of the world. A significant majority of firms find one in their mail months after examiners have come and gone. The most SEC common findings include compliance shortcomings related to the protection of senior investors, business continuity plans, and cybersecurity. … Read More

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  • Why JLG
    • Our Team
    • The JLG Experience
      • What You Can Expect
      • What Clients Are Saying
    • Community Involvement
    • Career Opportunities
    • Media Mentions
  • Who We Serve
    • Investment Advisers
    • Investment Companies
    • Broker-Dealers
    • Private Funds
    • Financial Professionals
  • Practice Areas
    • Regulatory Counsel & Compliance Services
      • Regulatory Examinations & Enforcement Counsel
      • Investment Adviser Regulatory Counsel (SEC & State)
      • FINRA Broker-Dealer Regulatory Counsel
      • Private Fund Counsel
      • Annual Reviews & Risk Assessments
      • Form ADV & Disclosure Documents
      • Regulatory Filings
      • Formations & Registrations
      • IA Marketing Rule Counsel
      • Form U5 Expungement Counsel
      • Due Diligence Counsel
      • Expert Witness
    • Strategic Business Planning
      • Mergers & Acquisitions
      • Transition & Breakaway Services
      • Corporate & Business Formation
      • Succession Planning Counsel
    • General Counsel
      • Contract Review
      • Corporate Governance
      • Family Office Counsel
      • Labor & Employment Law Services
      • Intellectual Property Law Services
      • Real Estate Law Services
      • Cryptocurrency & Digital Asset Counsel
      • Outsourced General Corporate Counsel Services
  • Knowledge Center
    • Legal Risk Management Tips
    • Industry Publications
    • Blog
    • Video Library
    • Events
  • Contact Us