Gabelli V. SEC – Us Supreme Court Decision Defines SEC Enforcement Time Table
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled Gabelli V. Sec – Us Supreme Court Decision Defines Sec Enforcement Time Table in February, 2014.… Read More
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled Gabelli V. Sec – Us Supreme Court Decision Defines Sec Enforcement Time Table in February, 2014.… Read More
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Most Favored Nations Provisions: Benefit or Curse? in January, 2014.… Read More
Last year, the Securities and Exchange Commission (“SEC”) amended Regulation D of the Securities Act of 1933 (the “Securities Act”), by adding Rules 506(c), 506(d) and 506(e). As we have described previously, there are several considerations and requirements of Rule…
The Legal Tip for Jacko Law Group titled 2013 Sec Enforcement Cases – A Year In Review was written in December, 2013.… Read More
On November 22, 2013, the Commissioner of Business Oversight (“Commissioner”) and the California Department of Business Oversight (“DBO”) issued an order affecting all broker dealers and investment advisers (and any other businesses engaged in financial transactions) which are licensed to…
As the year comes to a close, it is essential for firms to consider end-of-the-year training programs, both now and throughout 2014. The Securities Industry/Regulatory Council on Continuing Education (the “Council”) recently published their Firm Element Advisory (“FEA”) release…
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Do You Meet The Definition Of Lobbyist? in November, 2013.… Read More
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled General Solicitation And Advertising Under Rule 506(c): Look Before You Leap in October, 2013.… Read More
Last month, the Securities and Exchange Commission’s (“SEC”) Chairwoman Mary Jo White caused a stir within the advisory industry when she issued a speech stating that the SEC will begin zeroing in on “minor infractions” of investment advisers. This past…
In 2012, states expanded their oversight of registered investment advisers (“RIAs”) from those with $25 million in assets, to those with $100 million or less. Prior to 2012, the Securities and Exchange Commission (“SEC”) had been responsible for overseeing these…