How Risk Alerts Can Help You Prepare for Your Next Examination
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled How Risk Alerts Can Help You Prepare for Your Next Examination in February, 2019.… Read More
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled How Risk Alerts Can Help You Prepare for Your Next Examination in February, 2019.… Read More
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled How Prepared Are You for an SEC Examination? in July, 2018.… Read More
With the issue of investment advisers putting their clients into higher-fee share classes when a low-cost option is available continuing to be a problem – and the subsequent Share Class Selection Disclosure Initiative developed to combat the problem on a…
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…
FINRA expungement has been, and continues to be, a topic of intense discussion. We’ve discussed expungement in regard to customer complaints, as well as intra-industry issues, in just the past year. This continuation on the theme concerns a FINRA…
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
Announced October 11th, 2017, FINRA is restructuring its representative level qualification exam program. It will be creating the Securities Industry Essentials (“SIE”) exam, while also revising the representative-level qualification exams (i.e. Series 6 & 7). The goal of restructuring…
David Sobel wrote a Legal Tip for Jacko Law Group titled What To Do If You Receive a FINRA 8210 Letter in October, 2017.… Read More