How Risk Alerts Can Help You Prepare for Your Next Examination
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled How Risk Alerts Can Help You Prepare for Your Next Examination in February, 2019.… Read More
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled How Risk Alerts Can Help You Prepare for Your Next Examination in February, 2019.… Read More
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled 7 Essential Takeaways from the September SEC Risk Alert in September, 2017.… Read More
There has been a recent flurry of news reports, analysis and webinars in the securities law world around the Securities and Exchange Commission’s (“SEC’s”) Office of Compliance Inspections and Examinations (“OCIE”) proposed 2014 Cybersecurity Initiative. Launched as a major news…
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled Recent Social Media Developments in July, 2013.… Read More
The SEC and FINRA have issued a Risk Alert and a Regulatory Notice on broker-dealer branch inspections, and offered suggestions to help securities industry firms better perform this key supervisory function. The Risk Alert noted that the branch inspection process…
On September 29, 2011, the SEC issued a Risk Alert warning of concerns regarding trading through sub-accounts, and offered suggestions to help the securities industry address those risks. Generally, in the master/sub-account trading model, a top-level customer [1] opens an account with…