Referral Fees And Referral Arrangements: What You Should Consider
The Legal Tip for Jacko Law Group titled Referral Fees And Referral Arrangements: What You Should Consider was written in February, 2013.… Read More
The Legal Tip for Jacko Law Group titled Referral Fees And Referral Arrangements: What You Should Consider was written in February, 2013.… Read More
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled Practical Regulatory Compliance Considerations For Portability Of Performance And Advertisement Disclosures in January, 2013.… Read More
This week, President Barack Obama nominated former U.S. attorney Mary Jo White to be chairman of the Securities and Exchange Commission (“SEC”). If confirmed by the Senate, White would take over the helm at the SEC from Elisse Walter, who…
Back in January, the Securities and Exchange Commission (“SEC”) issued guidance regarding Registered Investment Adviser’s (“RIA’s”) use of social media in a National Examination Alert, Investment Adviser Use of Social Media (the “Alert”). Part of the Alert dealt with third-party…
Recently, the Financial Industry Regulatory Authority (“FINRA”) has requested the Securities and Exchange Commission (“SEC”) to approve amendments to Rules 2267 and 8312, which would increase disclosure requirements and promotion of their BrokerCheck program. In an attempt to facilitate and…
The California Department of Corporations (“DOC”) recently proposed amendments to the California investment adviser custody rule, Section 260.237 of Title 10 of the California Code of Regulations. The October 18, 2012 announcement follows an initial invitation for comments on the…
Last week the SEC settled an enforcement action against Chicago Registered Investment Adviser Tilden Loucks & Woodnorth LLC, its affiliated registered broker-dealer, LaSalle St. Securities, LLC, and Tilden’s retired founder, 87 year-old Ralph B. Loucks. The action was instituted as…
Last week the Enforcement Section of the North American Securities Administrators Association (NASAA) issued its annual enforcement survey, providing an overview of state enforcement efforts in 2011. The survey concludes that 6,121 investigations were conducted by the 48 responding regulators…
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Fall 2012 Regulatory Compliance “Hot Topics” in October, 2012.… Read More
This week the president of FINRA’s office of dispute resolution, Linda Feinberg, announced the SRO will open its arbitration forum to registered investment advisers. The statement was made at the annual meeting of the Public Investors Arbitration Bar Association where…