5 Steps to Proactively Prepare for an SEC Examination
While SEC Examinations can be extremely intimidating, we’ve found that the SEC Exam process doesn’t have to be nearly as painful as many firms assume it to be….
While SEC Examinations can be extremely intimidating, we’ve found that the SEC Exam process doesn’t have to be nearly as painful as many firms assume it to be….
It’s back! Billions kicked off Season 3, Episode 1 with the intellectual prowess that we’ve all come to expect. Hedge fund king Bobby “Axe” Axelrod continues to be on the defense for potential violations of federal securities laws. Axe and…
The Legal Tip for Jacko Law Group titled Where Do Cryptocurrencies Fit in the Regulatory Landscape? was written in March, 2018.… Read More
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled Securities Law Issues Involving Crowdfunding Transactions in February, 2018.… Read More
It happens to every investment adviser, sooner or later. All the documentation you maintain, all the policies and procedures you put in place, it all goes under the microscope eventually. The SEC, FINRA, and the State all conduct regulatory…
The Legal Tip for Jacko Law Group titled 2017 SEC Enforcement Cases: A Year In Review was written in December, 2017.… Read More
Earlier this month, a federal jury ruled against the founder of F-Squared Investments, Howard Present, in a case that was first brought to court almost two years ago. The firm, at one time, was the largest marketer of index…
Preparing for regulatory examinations is a daunting prospect. If you haven’t set up the policies and procedures to ensure you can handle such an exam at the drop of a hat, it becomes more than just daunting: it turns into…
In December 2015, the Fixing America’s Surface Transportation Act (the “FAST Act”) was signed into law by President Obama. Among other things, sections 74001 and 74002 of the FAST Act amended two provisions of the Investment Advisers Act of…
Whether you are an investment adviser in the private sector or one of the SEC’s own employees, the Commission will not hesitate to charge you with securities fraud if they determine you have committed misconduct, regardless of your association….