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Jacko Law Group Blog

Billions: Real-Life Applications of Scenarios Depicted on the Show – Recusal

Billions: Real-Life Applications of Scenarios Depicted on the Show - Market Manipulation

Billions: Real-Life Applications of Scenarios Depicted on the Show – Ep 3.

Billions: Real-Life Applications of Scenarios Depicted on the Show

First CCO Held Personally Responsible to go to Trial

FINRA 2016 Regulatory and Examination Priorities Letter

J.P. Morgan's Marketing Mishap

SEC Tranformation Review by Commissioner Aguilar

The SEC and their Cybersecurity

JLG Legal Risk Management Tip – The Importance of Strategic Transition and Business Succession Planning

FINRA Fines Five Firms for Failure to Waive Mutual Fund Charges

Whistleblower Awarded $325,000 from the SEC

Massachusetts Registered Investment Adviser Charged with Fraud

JLG Succession Planning Checklist

NASAA Reports State Securities Regulators Took 2,042 Enforcement Actions in 2014

Three California Men Charged with Fraud Relating to Real Estate Investment Scheme

Legal Risk Management Tip - August 2015: Considerations for Advisors Within the Hybrid Model

Audit Firm Admits to Issuing False and Misleading Audit Opinions

MSRB Seeks to Change Gift Rules

FINRA Levies $250,000 Fine Against Stern Agee & Leech, Inc. for Lost Laptop

SEC Freezes Assets of EB-5 Fraudster

Aegis Capital Fined $950,000 by FINRA

SEC Pays $3 Million Whistleblower Award

OCIE Launches Retirement-Targeted Industry Reviews and Examinations Initiative

First "Cherry-Picking" Charges Arise From SEC's Data-Driven Initiative

FINRA Issues Revisions to Sanction Guidelines

SEC’s Fraud Charges Against Robare Group, LTD. Dismissed

JLG Legal Risk Management Tip - How The Proposed Amendments To Form ADV And Advisers Act Will Impact Investment Advisers

JLG Legal Risk Management Tip – Anti-Money Laundering as Applied to Investment Advisers

SEC Chair, Mary Jo White, Discusses All-Encompassing Enforcement

SEC Approves Final Rules Regarding Regulation A

SEC’s Jane Jarcho Discusses the Second Wave of Upcoming Cybersecurity Exams

SEC Charges Broker-Dealer with Failure to Supervise its Registered Representatives

SEC’s Division of Investment Management Issues Guidance Update Regarding Gifts and Entertainment

JLG Legal Risk Management Tip – California 2015 Outlook: New Laws That May Affect Your Business

SEC Investigates California Insider Trading Ring

Oppenheimer Charged with Violating Securites Laws Related to Penny Stock Transactions

FINRA Background Check Approved by SEC

Registered Invesment Adviser Suing Former Adviser and Ameriprise

HSBC’s Swiss Private Bank pays SEC $12.5 to Settle Charges Brought for Providing Unregistered Services to U.S. Clients

Enforcement Attorney to Lead SEC’s Los Angeles Exam Program

Accepting a Finder's Fee without Being Registered as a Broker-Dealer

SEC's Fiduciary Rule Among Priorities for 2015

SEC Panel Back Update of Broader Accredited-Investor Definition

SEC Approves Rule G-44 as the MSRB's First Rule for Municipal Advisors

SEC Charges Another Investment Advisory Firm for Custody Rule Violations

Misallocation of Company Expenses Cost Firm $2.3 Million

Washington-Based Advisory Firm Cited for Disclosure and Reporting Failures

Advisory Firm Failed to Disclose Conflicts of Interest to Clients

$729 Million Penalty Ordered by the SEC

FINRA Accuses Wedbush Securities of Regulatory Violations

Misleading Statements to Customers to Transfer Their Assets Lead to Prosecution of Boston-based Investment Adviser

FINRA Creates Arbitration Task Force

Former Hedge Fund COO Admits to Enabling Owner to Misappropriate Client Funds

Fourth Anniversary of Dodd-Frank

Philadelphia-based private equity firm fined for Pay-to-Play

Pennsylvania Advisor charged with $2.5 million Fraud

Municipal Bond Market Fraud Uncovered in Harvey, IL

Protecting Whistleblowers: The SEC’s First Anti-Retaliation Enforcement Case

JLG Legal Risk Management Tip – California’s Revised Custody Rule Seeks Uniformity

IST Shareholder Services Charged by SEC in Misappropriation Scheme

Under the (Unregistered Broker-Dealer) Table: Rafferty Capital Markets and Illegal Trading

In the Spotlight: Private Equity Firms & the Presence Exam Initiative

California's Revised Custody Rule Seeks Uniformity

Foreign Risk: How to Avoid Anti-Money Laundering Problems with the New Russian Financial Sanctions

SEC OCIE’s Cybersecurity Initiative: What Your Firm Needs to Know

False (Video) Promises: YouTube Videos at the Center of FL-Based Ponzi Scheme

Manipulative Trading: Inside the Practice of “Layering”

Broker-Dealer Registration

SEC Charges Florida Firm with Perpetuating False Fee Discounts and Policy and Procedures Failures

DOL Proposes Amendment to Section 408(b)(2) of ERISA for Plan Fiduciaries Guide Requirement

Important Reminders About Pay-to-Play

Law Firm Charged with Fraudulent Bond Offering to Generate Funds During Financial Crisis

AZ Private Equity Fund’s Misallocation Scheme Uncovered, Spurs SEC Charges

New Initiative at SEC’s OCIE Targets RIAs with No Examination Experience

Rule Approved by FINRA to Restrict Language in Conditioning Settlements Allowing CRD Expungement

In the Spotlight: OCIE Director Drew Bowden

The Importance of AML: Banorte-Ixe Fined by FINRA for Registration and AML Failures

2014 SEC Priorities in Focus: Disclosure Reforms

Misrepresentations of Fund Valuation Charged by SEC to Oppenheimer Fund Manager

SEC Issues Further Guidance on Rule 506 of Regulation D

Record-Breaking $2.6 Billion Settlement Highlights Failure of J.P. Morgan to Report Red Flags

FINRA Provides Important Guidance on IRA Rollovers

SEC Enforcement Results for Fiscal Year 2013 Published

Practice What You Preach – Adherence to Policies & Procedures

California’s DBO - On The Cutting Edge of Communication

Regulatory Continuing Education – Staying Ahead of the Curve

Requirements of Rule 506(d): Bad Actors

Requirements of Rule 506(c): Reasonable Steps

SEC Speech Emphasizes Cooperation and Importance of Compliance Programs

States Toughening Up and Cracking Down on RIAs

States Weigh In on Identity Theft Protections

Benefit Corporation Legislation – A New Corporate Entity

New Filing Requirement for Commodity Trading Advisors

“Harmonization Rules” Provide Relief For Dually Registered Operators

Anti-Money Laundering Regulations for IAs

Recent SEC Matter Exemplifies Importance of Proper CCO Supervision

President Obama Seeks Action from Regulators on Dodd-Frank Act

Keeping Up With Form 13F Requirements

Recent Cease-and-Desist Orders Issued by the SEC in Regards to Custody Violations

Forming Private Funds: Managing Growth and Change

SEC Proposes New Amendments to Regulation D in Light of Rule 506 Approval

"Other" Important Supreme Court Rulings for Investment Advisers

State Developments May Have Big Impact on FINRA Arbitration Proceedings

Recent Events Portray Importance of Conducting Proper Due Diligence Prior to Investing in Securities

Supreme Court Ruling May Have Big Impact on How Investors View Biotech Market

Recent SEC Case Exemplifies Importance of Policies & Procedures Designed to Protect Clients and Monitor Third-Party Vendors

Will Spotlight Be Placed on Dark Pools?

FINRA Levies Heavy Fines Against LPL for Failure to Maintain and Supervise Emails

Understanding Who Speaks for Your Company

Extra, Extra, Read All About It: Guidance on Registration Requirement for Publishers of Newsletters

Recent Comments Blast SEC and Foreshadow Rule 506 Amendment Delays

The SEC and CFTC Jointly Approve New Identity Theft Rules

Remember, It's Not Just What You Say, But How and Where You Say It

Custody of Client Accounts: Does "Screen Sharing" Give Rise to a Custody Claim?

Legal Risk Management Tip for the Month – Commodity Investments for Advisors and Investment Companies

To Be Reviewed or Not To Be Reviewed: The SEC Provides Guidance on Filing Requirements for Certain Electronic Communications

SEC Reinforces the Importance of the Custody Rule for Investment Advisers

U.S. Supreme Court Ruling Defines Statute of Limitations "Start Time"

Arbitration Agreements by Investment Advisers Receiving Criticism - At Least in One State

Thanks to New FINRA Program, Mediation Resolution is Just a Phone Call Away

Recent SEC Action Exemplifies Alternative Method of Insider Trading

Mary Jo White Nominated to Take Over as the New SEC Chief

SEC Announces Intent to Propose Rule on Corporate Political Spending Disclosure

California’s Social Media Privacy Law Goes Into Effect

Social Media Sites Making Compliance Easier for Users

Regulators Continue Focusing on Anti-Money Laundering Violations

FINRA Seeking Further Disclosure & Promotion of “BrokerCheck” Program

Blog Update: Foreign Exchange Swaps and Foreign Exchange Forwards Will Not be Included in Swap Definition

California Department of Corporations Announces Proposed Changes to Investment Adviser Custody Rule

SEC Settlement Highlights Importance of Seeking Best Execution

NASAA Releases Annual Survey of Enforcement Activity by State Regulators

FINRA Announces Plans to Open Arbitration Forum to Investment Advisers

BD Corner: SEC Approves FINRA Rule 5123 Requiring Filing of Private Placement Offering Docs

NASAA President Calls on SEC to Withdraw Proposed Rule Lifting Ban on General Solicitation

California Appeals Court Affirms Stringent Limits on Non-Compete Provisions


BD Corner: California Appeals Court Clears Path for Greater Expungement

SEC Accuses Radio Personality Ray Lucia with Misleading Clients

The Securities and Exchange Commission Awards Whistleblower

CFTC Publishes FAQs on Compliance Obligations for CPOs and CTAs

ERISA Rule 404a-5 Disclosure Deadline on the Horizon

BD Corner: New Suitability Rule Takes Effect

New User Fee Bill Counters RIA SRO Bill

Update: California Private Fund Adviser Exemption Submitted for Final Approval

SEC and CFTC Finalize Rules and Interpretations on Key Terms for Regulating Derivatives

SEC Announces JOBS Act General Solicitation Rulemaking Delay

California Department of Corporations Announces Additional Changes to Proposed Private Fund Adviser Exemption

SEC Releases FAQs re: Form PF

GAO Calls On SEC to Strengthen Oversight of FINRA As Congress Weighs Investment Adviser SRO Legislation

SEC Announces Charges in South Florida Ponzi Scheme

FINRA Enhances BrokerCheck Capabilities

Reuters Releases Report Detailing HSBC’s Deficient Policing of Money Laundering Risks

New York High Court Rejects Unlawful Termination Claim by Hedge Fund Compliance Officer

ERISA Rule 408b-2 Disclosure Deadline Looms

B-D Corner: FINRA Proposes Simplified Expungement for Reps Not Named in Arbitration

SEC Shows Leniency to Whistleblower

BD Corner: Increased Fines and Harsher Penalties Imposed on Brokers and Principals by FINRA in 2011

Retirement On The Horizon? Start Planning Now

Take Note of New Qualified Client Thresholds

Update on CA Private Fund Advisers’ Registration

B-D Corner: Helpful Guidance for Supervision of Complex Products

The End of the General Solicitation and Advertising Prohibition for Private Funds?

Investment Adviser Update: Deadline for Filing Amendment to Form ADV Part 1 Approaching

New Guidance for Investment Advisers & Social Media: Should Advisers Dislike Their Likes?

SEC Focuses on Suspicious Hedge Fund Performance to Identify Potential Fraud

Tips from the Regulators: How to Conduct Robust Branch Office Inspections

Large Traders Must Identify Themselves December 1st

B-D Corner: More Disclosures and Filings Required For Private Placements

Seeking To Provide Services to Public Retirement Funds in California May Make You a Lobbyist

NASAA Provides Guidance on Top IA Deficiencies in State Examinations

At Last – Congress Takes Steps to Facilitate Entrepreneurs’ Ability to Raise Capital

U.S. Court of Appeals Holds that FINRA Lacks Authority to Collect Fines Through Court Proceedings

SEC Proposes Regulations Implementing the Volcker Rule

News Alert: Mitigating Risks Associated with Master/Sub-Account Arrangements

Rule 3a-4: Are Your Model Portfolios Really Investment Companies?

Department of Labor to Re-Propose Definition of “Fiduciary”

Investment Advisers May Soon Have A SRO – And FINRA Wants To Be It

SEC No-Action Letter Provides Further Guidance for Private Fund Solicitors

Rare East Coast Earthquake Serves as a Reminder to Review Business Continuity Plans

Advances in Technology May Prompt the SEC into Revising Securities’ Registration Requirements

SEC Whistleblower Program Now In Effect

Massachusetts Adopts New Regulations Governing Use of Expert Networks

Considerations for Structuring Finders Arrangements

Use of Solicitors – What Investment Advisers Should Consider