How Prepared Are You for an SEC Examination?
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
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
The U. S. Securities and Exchange Commission Division of Investment Management recently published an Information Update to provide clarification regarding filing certain Form ADV Part 1A amendments. On August 25, 2016, the Commission adopted amendments to Form ADV that have…
Last week the U. S. Securities and Exchange Commission judged that David Lubin, a New York-based attorney, may no longer appear or practice before the SEC, and may no longer act as an officer or director of a public…
In August 2016, the SEC adopted amendments to Form ADV Part 1A, pursuant to Final Rule Release No. IA-4509 (Form ADV and Investment Advisers Act Rules). These changes are designed to provide additional information related to an advisers’ separately…
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled How The Proposed Amendments To Form Adv And Advisers Act Will Impact Investment Advisers in May, 2015.… Read More
A new initiative with the Office of Compliance Inspections and Examinations (“OCIE”) at the Securities and Exchange Commission (“SEC”) is aimed at registered investment advisers who have never undergone examination by the SEC. According to a February 20, 2014 press…
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Do You Meet The Definition Of Lobbyist? in November, 2013.… Read More
The National Futures Association (“NFA”) announced its new quarterly filing requirement for commodity trading advisors (“CTAs”). The form is called NFA Form PR, and it requires CTAs to report to the NFA such information as general contact information, trading programs…
The Securities and Exchange Commission (“SEC”) requires all institutional investment managers that use the U.S. mail (or other means of instrumentality of interstate commerce) in the course of their business, and whom exercise investment discretion on over $100 million…
On July 10 the Securities and Exchange Commission (“SEC”) amended Rule 506 of Regulation D to implement Section 201(a) of the Jumpstart Our Business Startups Act (the “JOBS Act”). The amendments to this Rule caused quite a stir in the…