Regulatory Filings Archives

Why Intellectual Property is Important and What it Means for Your Business

May 12, 2022 by Jeremiah Baba Pagano

Among the more frequently overlooked aspects of running a business is the importance of proactive steps to legally protect your products, services, and unique ideas. Advisors are justifiably preoccupied with clients and employees but safeguarding your firm’s intellectual property (IP) … Read More

Blog | Investment Adviser Regulatory Counsel (SEC & State) | Regulatory Examinations & Enforcement Counsel

Tips on How to Produce the Right Document for an Examination

March 10, 2022 by Jacko Law Group, PC

Firms registered with the U.S. Securities and Exchange Commission (SEC), should regularly ask themselves when – not if – they will be examined. With that in mind, the team at Jacko Law Group, PC (“JLG”) has a few best practices on how to prepare for the SEC’s inevitable request for document production.… Read More

Blog | Form ADV & Disclosure Documents | Regulatory Filings

Deadline Approaching: Considerations for Your Form ADV

March 8, 2021 by Jacko Law Group, PC

For those firms with a fiscal-year end of December 31st, it is time once again to commence your Annual Amendments to Forms ADV.

Blog

SEC Charges San Antonio CEO with Defrauding Investors Including First-Responders

August 6, 2020 by Jacko Law Group, PC

On July 30, 2020, the Securities and Exchange Commission (“SEC”) announced it was bringing charges against San Antonio-based CEO, Victor Lee Farias, and his firm, Integrity Aviation & Leasing (“IAL”), for defrauding investors, including police officers and other first-responders, out of approximately $14 million.

Blog | Regulatory Filings

SEC Releases Proposed Changes to Form 13F Report Requirements

July 20, 2020 by Jacko Law Group, PC

On July 10, 2020, the U.S. Securities and Exchange Commission (“SEC”) released proposed changes to the rule requiring institutional managers to file Form 13F reports.

The changes include raising the reporting threshold from $100 million to $3.5 billion and eliminating the exclusion of smaller positions from the Form 13F report.

Legal Risk Management Tips | Regulatory Filings

Immediate Impacts of COVID-19 on Investment Adviser Compliance Programs

March 20, 2020 by Jacko Law Group, PC

A month ago, it was unclear of how much COVID-19 (the “coronavirus”) would impact all of us in every facet of our lives. For some, we are indefinitely “sheltered in” and are working remotely where possible. Others must take care … Read More

Filings & Registrations | Form ADV & Disclosure Documents | Industry Publications

Q&A: IARD Conversion

August 1, 2019 by Jacko Law Group, PC

Michelle L. Jacko published the article titled Q&A: IARD Conversion in National Society of Compliance Professionals (NSCP) Currents’ January/February 2001 publication. … Read More

Events | Form ADV & Disclosure Documents

Checklist of the New Form ADV Part 1A Amendments

July 29, 2019 by M. Jacko

Michelle L. Jacko presented on Checklist of the New Form ADV Part 1A Amendments at the Investment Adviser Association (IAA) 2017 Compliance Workshop on December 6, 2017 in Los Angeles, CA.… Read More

Events | Regulatory Compliance

New Form ADV: Part 2 Most Difficult Disclosure Issues Revealed

July 23, 2019 by M. Jacko

Michelle L. Jacko presented on New Form ADV Part 2 Most Difficult Disclosure Issues Revealed at the IA Week Fall Conference on September 23, 2008 in Philadelphia, PA.… Read More

Events | Regulatory Compliance

Form ADV, Dramatic Change Ahead

July 19, 2019 by M. Jacko

Michelle L. Jacko presented on Form ADV, Dramatic Change Ahead at the National Regulatory Services 23rd Annual Spring Compliance Conference on May 12-15, 2008 in Miami, FL.… Read More