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….
Billions, Episode 1: Compliance Makes Tough Calls for the Good of the Firm
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’s Proposed Amendments to the Expungement Process
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…
Why You Need a Quick Response Team on Your Side for Regulatory Examinations
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…
2017 SEC Enforcement Cases: A Year In Review
The Legal Tip for Jacko Law Group titled 2017 SEC Enforcement Cases: A Year In Review was written in December, 2017.… Read More
FINRA Qualifications Exam Restructuring: What Representatives Need to Know
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…
FINRA Broker-Dealer Regulatory Counsel | Legal Risk Management Tips | Regulatory Examinations & Enforcement Counsel
What To Do If You Receive a FINRA 8210 Letter
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
How to Have a Successful SEC Exam Experience
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…
7 Essential Takeaways from the SEC Risk Alert
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled 7 Essential Takeaways from the September SEC Risk Alert in September, 2017.… Read More
2017 SEC Examinations Focus Areas
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled 2017 SEC Examinations Focus Areas in January, 2017.… Read More