Integral Factors for Your Firm’s Mock SEC Examination
When the SEC, FINRA or State Regulators come knocking, you want your firm to be prepared and Jacko Law Group can make sure you are.
When the SEC, FINRA or State Regulators come knocking, you want your firm to be prepared and Jacko Law Group can make sure you are.
Manaing Partner & CEO Michelle Jacko’s article, Considerations for 2020 and Focus on SEC Exam Priorities, was published in the April 2020 edition of the National Society of Compliance Professionals’ Currents newsletter.… Read More
As firms work to prepare their updated disclosures and move toward compliance by June 30, 2020 with the new Regulation Best Interest (“Reg BI”), the Securities and Exchange Commission (“SEC”) made two important announcements. As a reminder, Reg BI establishes a new standard of conduct for broker-dealers and their associated persons when making a recommendation of any securities transaction or investment strategy involving securities (including account recommendations) to a retail customer.
On January 7, the Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) released its list of examination priorities for fiscal year 2020 (the “Priorities”). This annual publication is invaluable, for it highlights those areas which the … Read More
The Securities and Exchange Commission’s (“SEC’s”) Division of Enforcement released its Annual Report (the “Report”) last month, which discusses enforcement cases for its fiscal year of 2019. According to the Report, the SEC filed 862 enforcement actions in FY 2019, resulting in disgorgements and monetary penalties of roughly $4.35 billion.… Read More
Every year the SEC and FINRA publish a letter outlining the primary focuses for examiners. These focuses often set forth the hot topics and frequent deficiency areas for their examination visits throughout the year. Below are some of the more … Read More
Michelle L. Jacko will be speaking at the Charles Schwab IMPACT 2019 conference, November 4-7, 2019.… Read More
Michelle L. Jacko was featured in the Charles Schwab Advisor Services spring 2019 publication.
Jacko Law Group, P.C. (“JLG”) wrote the article titled Private Fund Regulation: SEC Examination and Enforcement Hot Topics which was published in the National Society of Compliance Professionals (NSCP) Currents’ November/December 2011 issue. … Read More
Michelle L. Jacko published the article titled Best Practices to Use During the SEC Examination in the Shustak & Partners, PC Newsletter in 2004.… Read More