SEC Exam Priorities Archives - Page 3 of 6

Blog | Regulatory Examinations & Enforcement Counsel

OCIE Risk Alert—Examinations Focused on Initial Compliance With Regulation Best Interest

April 22, 2020 by Jacko Law Group, PC

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.

Legal Risk Management Tips

Considerations for 2020 and Focus on the SEC Exam Priorities

February 28, 2020 by Jacko Law Group, PC

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

Legal Risk Management Tips | Regulatory Examinations & Enforcement Counsel

2019 SEC Enforcement Cases: A Year in Review

December 20, 2019 by Jacko Law Group, PC

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

FINRA Broker-Dealer Regulatory Counsel | Legal Risk Management Tips

Mid-Year Enforcement Action Matters of 2019

August 28, 2019 by Jacko Law Group, PC

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

Events

Charles Schwab – IMPACT 2019

August 22, 2019 by Jacko Law Group, PC

Michelle L. Jacko will be speaking at the Charles Schwab IMPACT 2019 conference, November 4-7, 2019.… Read More

Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Media Mentions

SEC Key Topics—And How to Prepare for an Examination

August 6, 2019 by M. Jacko

Michelle L. Jacko was featured in the Charles Schwab Advisor Services spring 2019 publication.

Industry Publications | Private Fund Counsel

Private Fund Regulation: SEC Examination and Enforcement Hot Topics

August 5, 2019 by Jacko Law Group, PC

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

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

Best Practices to Use During the SEC Examination

August 1, 2019 by Jacko Law Group, PC

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

Events | Regulatory Examinations & Enforcement Counsel

SEC Exam Priorities

July 29, 2019 by M. Jacko

Michelle L. Jacko presented on SEC Exam Priorities for the Investment Advisor (IA) Watch Webinar on March 24, 2015.… Read More

Events

How to Prepare for the SEC

July 29, 2019 by M. Jacko

Michelle L. Jacko presented on How to Prepare for the SEC at the Core Compliance & Legal Services (Core Compliance) Annual Compliance Symposium on September 9, 2014 in Beverly Hills, CA.… Read More