June 1, 2023 | RIA Best Practices for Complying with the Proposed New Cyber Rule (NCR) | Speakers: Michelle L. Jacko, Esq. – Managing Partner of Jacko Law Group, Jason Ewasko – CDO of Core Compliance and Christian Kelly – … Read More
March 16, 2023 | Regulatory Compliance Watch Webinar | Speaker: Michelle L. Jacko, Esq. With the SEC’s new advertising rule in effect, is your firm prepared for the possibility of an examination? Ensure your firm is ready by attending … Read More
March 21, 2023 | NSCP Educational Seminar | Speaker: Michelle L. Jacko, Managing Partner We are excited to announce that Managing Partner Michelle L. Jacko will be speaking at NSCP’s Educational Seminar on March 21, 2023. Michelle will present on, … Read More
April 23-26, 2023 | 2023 Red Oak User Conference | Speaker: Michelle L. Jacko, Managing Partner We are excited to announce that Managing Partner Michelle L. Jacko will be the Keynote speaker for the 2023 Red Oak User Conference from April 23-26, 2023. … Read More
Your firm is notified that the SEC is coming. It spends weeks reviewing all policies and procedures and participating in a mock SEC exam, to help the registrants’ employees prepare. But what other steps should be taken to help achieve … Read More
The financial securities industry has an ever-changing regulatory environment. That’s why it’s critical that advisors are proactive about keeping up with the latest regulations, anticipating their implications for real-world scenarios, and understanding how to meet the expectations of the U.S. … Read More
One common misconception about responding to the U.S. Securities and Exchange Commission’s (“SEC’s”) initial request for documents as part of an examination or routine sweep is that the document production phase has ended. On occasion, it has basically just begun. … Read More
Michelle L. Jacko will present on Charles Schwab Virtual Educational Event – SEC Hot Topics on March 31, 2022.… Read More
Michelle Jacko wrote the blog post, “Your Road Map to Leveraging 2021’s SEC Risk Alerts to Prepare for 2022,” for Jacko Law Group in December, 2021.… Read More
Michelle Jacko wrote the blog post, “How to Engage in Dialogue with an SEC Examiner,” for Jacko Law Group in October, 2021.… Read More