--- title: Jacko Law Group Blog description: Jacko Law Group Blog --- [![Jacko Law Group, PC - Securities Law](https://resources.jackolg.com/hubfs/Jackolawgroup%20February2018/image/brand.png)](http://www.jackolg.com/) Call Today for a Consultation San Diego 619-298-2880 San Francisco 415-766-3599 Los Angeles 213-631-2549 Menu [Contact](http://www.jackolg.com/Contact.shtml) - [Home](http://www.jackolg.com/) - [Firm Overview](http://www.jackolg.com/Firm-Overview/) - [Professionals](http://www.jackolg.com/Professionals/) - [Events](http://www.jackolg.com/Events.shtml) - [News](http://www.jackolg.com/News-Room/) - [Blog](http://www.jackolg.com/blog/) - [Videos](http://www.jackolg.com/Videos.shtml) - [Contact](http://www.jackolg.com/Contact.shtml) # Understand. Define. Achieve. Uniquely situated to offer comprehensive services to registered investment advisers, securities broker-dealers, hedge funds, financial professionals and organizations of all sizes. View Our Practice Areas - [SEC/FINRA Regulatory Counsel](http://www.jackolg.com/Regulatory-Examinations-and-Inquiries-SEC-and-FINRA/) - [Private Equity & Hedge Fund Counsel](http://www.jackolg.com/Private-Equity-Counsel/) - [Investment Adviser Services](http://www.jackolg.com/Legal-Considerations-for-Breaking-Away/Investment-Adviser-Counsel.shtml) - [Breakaways And Transitions](http://www.jackolg.com/Legal-Considerations-for-Breaking-Away/) - [General Corporate Counsel](http://www.jackolg.com/Corporate-Counsel/) - [Broker- Dealer Counsel](http://www.jackolg.com/Broker-Dealer-Counsel/) #### News - [Legal Tips](http://www.jackolg.com/News-Room/) - [Publications](http://www.jackolg.com/News-Room/Publications.shtml) - [Blog](http://www.jackolg.com/blog/) # Jacko Law Group Blog ## [Billions: Real-Life Applications of Scenarios Depicted on the Show – Recusal](https://resources.jackolg.com/2016/02/18/billions-real-life-applications-of-scenarios-depicted-on-the-show-recusal/) ## [Billions: Real-Life Applications of Scenarios Depicted on the Show - Market Manipulation](https://resources.jackolg.com/2016/02/11/billions-real-life-applications-of-scenarios-depicted-on-the-show-market-manipulation/) ## [Billions: Real-Life Applications of Scenarios Depicted on the Show – Ep 3.](https://resources.jackolg.com/2016/02/02/billions-real-life-applications-of-scenarios-depicted-on-the-show-ep-3/) ## [Billions: Real-Life Applications of Scenarios Depicted on the Show](https://resources.jackolg.com/2016/01/29/billions-real-life-applications-of-scenarios-depicted-on-the-show/) ## [First CCO Held Personally Responsible to go to Trial](https://resources.jackolg.com/2016/01/23/first-cco-held-personally-responsible-to-go-to-trial/) ## [FINRA 2016 Regulatory and Examination Priorities Letter](https://resources.jackolg.com/2016/01/14/finra-2016-regulatory-and-examination-priorities-letter/) ## [J.P. Morgan's Marketing Mishap](https://resources.jackolg.com/2016/01/08/j-p-morgans-marketing-mishap/) ## [SEC Tranformation Review by Commissioner Aguilar](https://resources.jackolg.com/2015/12/22/sec-tranformation-review-by-commissioner-aguilar/) ## [The SEC and their Cybersecurity](https://resources.jackolg.com/2015/12/18/the-sec-and-their-cybersecurity/) ## [JLG Legal Risk Management Tip – The Importance of Strategic Transition and Business Succession Planning](https://resources.jackolg.com/2015/11/19/jlg-legal-risk-management-tip-the-importance-of-strategic-transition-and-business-succession-planning-2/) ## [FINRA Fines Five Firms for Failure to Waive Mutual Fund Charges](https://resources.jackolg.com/2015/11/13/finra-fines-five-firms-for-failure-to-waive-mutual-fund-charges-2/) ## [Whistleblower Awarded $325,000 from the SEC](https://resources.jackolg.com/2015/11/05/whistleblower-awarded-325000-from-the-sec/) ## [Massachusetts Registered Investment Adviser Charged with Fraud](https://resources.jackolg.com/2015/10/30/massachusetts-registered-investment-adviser-charged-with-fraud/) ## [JLG Succession Planning Checklist](https://resources.jackolg.com/2015/10/22/jlg-succession-planning-checklist/) ## [NASAA Reports State Securities Regulators Took 2,042 Enforcement Actions in 2014](https://resources.jackolg.com/2015/09/28/nasaa-reports-state-securities-regulators-took-2042-enforcement-actions-in-2014/) ## [Three California Men Charged with Fraud Relating to Real Estate Investment Scheme](https://resources.jackolg.com/2015/09/18/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](https://resources.jackolg.com/2015/09/10/legal-risk-management-tip-august-2015-considerations-for-advisors-within-the-hybrid-model/) ## [Audit Firm Admits to Issuing False and Misleading Audit Opinions](https://resources.jackolg.com/2015/09/09/audit-firm-admits-to-issuing-false-and-misleading-audit-opinions/) ## [MSRB Seeks to Change Gift Rules](https://resources.jackolg.com/2015/09/02/msrb-seeks-to-change-gift-rules/) ## [FINRA Levies $250,000 Fine Against Stern Agee & Leech, Inc. for Lost Laptop](https://resources.jackolg.com/2015/08/24/finra-levies-250000-fine-against-stern-agee-leech-inc-for-lost-laptop/) ## [SEC Freezes Assets of EB-5 Fraudster](https://resources.jackolg.com/2015/08/17/sec-freezes-assets-of-eb-5-fraudster/) ## [Aegis Capital Fined $950,000 by FINRA](https://resources.jackolg.com/2015/08/12/aegis-capital-fined-950000-by-finra/) ## [SEC Pays $3 Million Whistleblower Award](https://resources.jackolg.com/2015/07/20/sec-pays-3-million-whistleblower-award/) ## [OCIE Launches Retirement-Targeted Industry Reviews and Examinations Initiative](https://resources.jackolg.com/2015/07/15/ocie-launches-retirement-targeted-industry-reviews-and-examinations-initiative/) ## [First "Cherry-Picking" Charges Arise From SEC's Data-Driven Initiative](https://resources.jackolg.com/2015/07/10/first-cherry-picking-charges-arise-from-secs-data-driven-initiative/) ## [FINRA Issues Revisions to Sanction Guidelines](https://resources.jackolg.com/2015/06/22/finra-issues-revisions-to-sanction-guidelines/) ## [SEC’s Fraud Charges Against Robare Group, LTD. Dismissed](https://resources.jackolg.com/2015/06/19/secs-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](https://resources.jackolg.com/2015/05/29/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](https://resources.jackolg.com/2015/05/04/jlg-legal-risk-management-tip-anti-money-laundering-as-applied-to-investment-advisers/) ## [SEC Chair, Mary Jo White, Discusses All-Encompassing Enforcement](https://resources.jackolg.com/2015/04/13/sec-chair-mary-jo-white-discusses-all-encompassing-enforcement/) ## [SEC Approves Final Rules Regarding Regulation A](https://resources.jackolg.com/2015/04/01/sec-approves-final-rules-regarding-regulation-a/) ## [SEC’s Jane Jarcho Discusses the Second Wave of Upcoming Cybersecurity Exams](https://resources.jackolg.com/2015/03/16/secs-jane-jarcho-discusses-the-second-wave-of-upcoming-cybersecurity-exams/) ## [SEC Charges Broker-Dealer with Failure to Supervise its Registered Representatives](https://resources.jackolg.com/2015/03/12/sec-charges-broker-dealer-with-failure-to-supervise-its-registered-representatives/) ## [SEC’s Division of Investment Management Issues Guidance Update Regarding Gifts and Entertainment](https://resources.jackolg.com/2015/03/04/secs-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](https://resources.jackolg.com/2015/02/28/jlg-legal-risk-management-tip-california-2015-outlook-new-laws-that-may-affect-your-business/) ## [SEC Investigates California Insider Trading Ring](https://resources.jackolg.com/2015/02/11/sec-investigates-california-insider-trading-ring/) ## [Oppenheimer Charged with Violating Securites Laws Related to Penny Stock Transactions](https://resources.jackolg.com/2015/02/05/oppenheimer-charged-with-violation-securites-laws-related-to-penny-stock-transactions/) ## [FINRA Background Check Approved by SEC](https://resources.jackolg.com/2015/01/28/finra-background-check-approved-by-sec/) ## [Registered Invesment Adviser Suing Former Adviser and Ameriprise](https://resources.jackolg.com/2015/01/16/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](https://resources.jackolg.com/2015/01/07/hsbcs-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](https://resources.jackolg.com/2014/12/18/enforcement-attorney-to-lead-secs-los-angeles-exam-program/) ## [Accepting a Finder's Fee without Being Registered as a Broker-Dealer](https://resources.jackolg.com/2014/12/10/accepting-a-finders-fee-without-being-registered-as-a-broker-dealer/) ## [SEC's Fiduciary Rule Among Priorities for 2015](https://resources.jackolg.com/2014/12/04/secs-fiduciary-rule-among-priorities-for-2015/) ## [SEC Panel Back Update of Broader Accredited-Investor Definition](https://resources.jackolg.com/2014/12/04/sec-panel-back-update-of-broader-accredited-investor-definition/) ## [SEC Approves Rule G-44 as the MSRB's First Rule for Municipal Advisors](https://resources.jackolg.com/2014/11/26/sec-approves-rule-g-44-as-the-msrbs-first-rule-for-municipal-advisors/) ## [SEC Charges Another Investment Advisory Firm for Custody Rule Violations](https://resources.jackolg.com/2014/11/03/sec-charges-nother-investment-advisory-firm-for-custody-rule-violations/) ## [Misallocation of Company Expenses Cost Firm $2.3 Million](https://resources.jackolg.com/2014/10/20/misallocation-of-company-expenses-cost-firm-2-3-million/) ## [Washington-Based Advisory Firm Cited for Disclosure and Reporting Failures](https://resources.jackolg.com/2014/10/02/washington-based-advisory-firm-cited-for-disclosure-and-reporting-failures/) ## [Advisory Firm Failed to Disclose Conflicts of Interest to Clients](https://resources.jackolg.com/2014/09/18/advisory-firm-failed-to-disclose-conflicts-of-interest-to-clients/) ## [$729 Million Penalty Ordered by the SEC](https://resources.jackolg.com/2014/08/29/729-million-penalty-ordered-by-the-sec/) ## [FINRA Accuses Wedbush Securities of Regulatory Violations](https://resources.jackolg.com/2014/08/25/finra-accuses-wedbush-securities-of-regulatory-violations/) ## [Misleading Statements to Customers to Transfer Their Assets Lead to Prosecution of Boston-based Investment Adviser](https://resources.jackolg.com/2014/08/18/misleading-statements-to-customers-to-transfer-their-assets-lead-to-prosecution-of-boston-based-investment-adviser/) ## [FINRA Creates Arbitration Task Force](https://resources.jackolg.com/2014/08/12/finra-creates-arbitration-task-force/) ## [Former Hedge Fund COO Admits to Enabling Owner to Misappropriate Client Funds](https://resources.jackolg.com/2014/08/07/former-hedge-fund-coo-admits-to-enabling-owner-to-misappropriate-client-funds/) ## [Fourth Anniversary of Dodd-Frank](https://resources.jackolg.com/2014/07/29/fourth-anniversary-of-dodd-frank/) ## [Philadelphia-based private equity firm fined for Pay-to-Play](https://resources.jackolg.com/2014/07/21/philadelphia-based-private-equity-firm-fined-for-pay-to-play/) ## [Pennsylvania Advisor charged with $2.5 million Fraud](https://resources.jackolg.com/2014/07/14/pennsylvania-advisor-charged-with-2-5-million-fraud/) ## [Municipal Bond Market Fraud Uncovered in Harvey, IL](https://resources.jackolg.com/2014/07/08/municipal-bond-market-fraud-uncovered-in-harvey-il-2/) ## [Protecting Whistleblowers: The SEC’s First Anti-Retaliation Enforcement Case](https://resources.jackolg.com/2014/06/27/protecting-whistleblowers-the-secs-first-anti-retaliation-enforcement-case/) ## [JLG Legal Risk Management Tip – California’s Revised Custody Rule Seeks Uniformity](https://resources.jackolg.com/2014/06/21/jlg-legal-risk-management-tip-californias-revised-custody-rule-seeks-uniformity/) ## [IST Shareholder Services Charged by SEC in Misappropriation Scheme](https://resources.jackolg.com/2014/06/13/ist-shareholder-services-charged-by-sec-in-misappropriation-scheme/) ## [Under the (Unregistered Broker-Dealer) Table: Rafferty Capital Markets and Illegal Trading](https://resources.jackolg.com/2014/06/13/under-the-unregistered-broker-dealer-table-rafferty-capital-markets-and-illegal-trading/) ## [In the Spotlight: Private Equity Firms & the Presence Exam Initiative](https://resources.jackolg.com/2014/05/24/in-the-spotlight-private-equity-firms-the-presence-exam-initiative/) ## [California's Revised Custody Rule Seeks Uniformity](https://resources.jackolg.com/2014/05/22/californias-revised-custody-rule-seeks-uniformity/) ## [Foreign Risk: How to Avoid Anti-Money Laundering Problems with the New Russian Financial Sanctions](https://resources.jackolg.com/2014/05/21/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](https://resources.jackolg.com/2014/05/08/sec-ocies-cybersecurity-initiative-what-your-firm-needs-to-know/) ## [False (Video) Promises: YouTube Videos at the Center of FL-Based Ponzi Scheme](https://resources.jackolg.com/2014/04/26/false-video-promises-youtube-videos-at-the-center-of-fl-based-ponzi-scheme/) ## [Manipulative Trading: Inside the Practice of “Layering”](https://resources.jackolg.com/2014/04/22/manipulative-trading-inside-the-practice-of-layering/) ## [Broker-Dealer Registration](https://resources.jackolg.com/2014/04/22/501/) ## [SEC Charges Florida Firm with Perpetuating False Fee Discounts and Policy and Procedures Failures](https://resources.jackolg.com/2014/04/12/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](https://resources.jackolg.com/2014/04/05/dol-proposes-amendment-to-section-408b2-of-erisa-for-plan-fiduciaries-guide-requirement/) ## [Important Reminders About Pay-to-Play](https://resources.jackolg.com/2014/03/31/important-reminders-about-pay-to-play-2/) ## [Law Firm Charged with Fraudulent Bond Offering to Generate Funds During Financial Crisis](https://resources.jackolg.com/2014/03/31/law-firm-charged-with-fraudulent-bond-offering-to-generate-funds-during-financial-crisis/) ## [AZ Private Equity Fund’s Misallocation Scheme Uncovered, Spurs SEC Charges](https://resources.jackolg.com/2014/03/21/az-private-equity-funds-misallocation-scheme-uncovered-spurs-sec-charges/) ## [New Initiative at SEC’s OCIE Targets RIAs with No Examination Experience](https://resources.jackolg.com/2014/03/10/new-initiative-at-secs-ocie-targets-rias-with-no-examination-experience/) ## [Rule Approved by FINRA to Restrict Language in Conditioning Settlements Allowing CRD Expungement](https://resources.jackolg.com/2014/03/01/rule-approved-by-finra-to-restrict-language-in-conditioning-settlements-allowing-crd-expungement/) ## [In the Spotlight: OCIE Director Drew Bowden](https://resources.jackolg.com/2014/02/22/in-the-spotlight-ocie-director-drew-bowden/) ## [The Importance of AML: Banorte-Ixe Fined by FINRA for Registration and AML Failures](https://resources.jackolg.com/2014/02/15/the-importance-of-aml-banorte-ixe-fined-by-finra-for-registration-and-aml-failures/) ## [2014 SEC Priorities in Focus: Disclosure Reforms](https://resources.jackolg.com/2014/02/12/2014-sec-priorities-in-focus-disclosure-reforms/) ## [Misrepresentations of Fund Valuation Charged by SEC to Oppenheimer Fund Manager](https://resources.jackolg.com/2014/01/29/misrepresentations-of-fund-valuation-charged-by-sec-to-oppenheimer-fund-manager/) ## [SEC Issues Further Guidance on Rule 506 of Regulation D](https://resources.jackolg.com/2014/01/17/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](https://resources.jackolg.com/2014/01/11/record-breaking-2-6-billion-settlement-highlights-failure-of-j-p-morgan-to-report-red-flags/) ## [FINRA Provides Important Guidance on IRA Rollovers](https://resources.jackolg.com/2014/01/07/finra-provides-important-guidance-on-ira-rollovers/) ## [SEC Enforcement Results for Fiscal Year 2013 Published](https://resources.jackolg.com/2013/12/20/sec-enforcement-results-for-fiscal-year-2013-published/) ## [Practice What You Preach – Adherence to Policies & Procedures](https://resources.jackolg.com/2013/12/14/practice-what-you-preach-adherence-to-policies-procedures/) ## [California’s DBO - On The Cutting Edge of Communication](https://resources.jackolg.com/2013/12/07/californias-dbo-on-the-cutting-edge-of-communication/) ## [Regulatory Continuing Education – Staying Ahead of the Curve](https://resources.jackolg.com/2013/11/27/regulatory-continuing-education-staying-ahead-of-the-curve/) ## [Requirements of Rule 506(d): Bad Actors](https://resources.jackolg.com/2013/11/23/requirements-of-rule-506d-bad-actors/) ## [Requirements of Rule 506(c): Reasonable Steps](https://resources.jackolg.com/2013/11/08/requirements-of-rule-506c-reasonable-steps/) ## [SEC Speech Emphasizes Cooperation and Importance of Compliance Programs](https://resources.jackolg.com/2013/10/28/sec-speech-emphasizes-cooperation-and-importance-of-compliance-programs/) ## [States Toughening Up and Cracking Down on RIAs](https://resources.jackolg.com/2013/10/21/states-toughening-up-and-cracking-down-on-rias/) ## [States Weigh In on Identity Theft Protections](https://resources.jackolg.com/2013/10/12/states-weigh-in-on-identity-theft-protections/) ## [Benefit Corporation Legislation – A New Corporate Entity](https://resources.jackolg.com/2013/10/04/benefit-corporation-legislation-a-new-corporate-entity/) ## [New Filing Requirement for Commodity Trading Advisors](https://resources.jackolg.com/2013/09/27/new-filing-requirement-for-commodity-trading-advisors/) ## [“Harmonization Rules” Provide Relief For Dually Registered Operators](https://resources.jackolg.com/2013/09/20/harmonization-rules-provide-relief-for-dually-registered-operators/) ## [Anti-Money Laundering Regulations for IAs](https://resources.jackolg.com/2013/09/13/anti-money-laundering-regulations-for-ias/) ## [Recent SEC Matter Exemplifies Importance of Proper CCO Supervision](https://resources.jackolg.com/2013/09/09/recent-sec-matter-exemplifies-importance-of-proper-cco-supervision/) ## [President Obama Seeks Action from Regulators on Dodd-Frank Act](https://resources.jackolg.com/2013/08/23/president-obama-seeks-action-from-regulators-on-dodd-frank-act-2/) ## [Keeping Up With Form 13F Requirements](https://resources.jackolg.com/2013/08/14/keeping-up-with-form-13f-requirements/) ## [Recent Cease-and-Desist Orders Issued by the SEC in Regards to Custody Violations](https://resources.jackolg.com/2013/08/08/recent-cease-and-desist-orders-issued-by-the-sec-in-regards-to-custody-violations/) ## [Forming Private Funds: Managing Growth and Change](https://resources.jackolg.com/2013/07/25/forming-private-funds-managing-growth-and-change/) ## [SEC Proposes New Amendments to Regulation D in Light of Rule 506 Approval](https://resources.jackolg.com/2013/07/15/sec-proposes-new-amendments-to-regulation-d-in-light-of-rule-506-approval/) ## ["Other" Important Supreme Court Rulings for Investment Advisers](https://resources.jackolg.com/2013/07/03/other-important-supreme-court-rulings-for-investment-advisers/) ## [State Developments May Have Big Impact on FINRA Arbitration Proceedings](https://resources.jackolg.com/2013/06/26/state-developments-may-have-big-impact-on-finra-arbitration-proceedings/) ## [Recent Events Portray Importance of Conducting Proper Due Diligence Prior to Investing in Securities](https://resources.jackolg.com/2013/06/22/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](https://resources.jackolg.com/2013/06/14/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](https://resources.jackolg.com/2013/06/06/recent-sec-case-exemplifies-importance-of-policies-procedures-designed-to-protect-clients-and-monitor-third-party-vendors/) ## [Will Spotlight Be Placed on Dark Pools?](https://resources.jackolg.com/2013/05/31/will-spotlight-be-placed-on-dark-pools/) ## [FINRA Levies Heavy Fines Against LPL for Failure to Maintain and Supervise Emails](https://resources.jackolg.com/2013/05/22/finra-levies-heavy-fines-against-lpl-for-failure-to-maintain-and-supervise-emails/) ## [Understanding Who Speaks for Your Company](https://resources.jackolg.com/2013/05/16/understanding-who-speaks-for-your-company/) ## [Extra, Extra, Read All About It: Guidance on Registration Requirement for Publishers of Newsletters](https://resources.jackolg.com/2013/05/07/extra-extra-read-all-about-it-guidance-on-registration-requirement-for-publishers-of-newsletters/) ## [Recent Comments Blast SEC and Foreshadow Rule 506 Amendment Delays](https://resources.jackolg.com/2013/04/25/recent-comments-blast-sec-and-foreshadow-rule-506-amendment-delays/) ## [The SEC and CFTC Jointly Approve New Identity Theft Rules](https://resources.jackolg.com/2013/04/19/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](https://resources.jackolg.com/2013/04/11/remember-its-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?](https://resources.jackolg.com/2013/04/03/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](https://resources.jackolg.com/2013/03/31/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](https://resources.jackolg.com/2013/03/20/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](https://resources.jackolg.com/2013/03/19/sec-reinforces-the-importance-of-the-custody-rule-for-investment-advisers/) ## [U.S. Supreme Court Ruling Defines Statute of Limitations "Start Time"](https://resources.jackolg.com/2013/03/05/u-s-supreme-court-ruling-defines-statute-of-limitations-start-time/) ## [Arbitration Agreements by Investment Advisers Receiving Criticism - At Least in One State](https://resources.jackolg.com/2013/02/15/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](https://resources.jackolg.com/2013/02/08/thanks-to-new-finra-program-mediation-resolution-is-just-a-phone-call-away/) ## [Recent SEC Action Exemplifies Alternative Method of Insider Trading](https://resources.jackolg.com/2013/02/01/recent-sec-action-exemplifies-alternative-method-of-insider-trading/) ## [Mary Jo White Nominated to Take Over as the New SEC Chief](https://resources.jackolg.com/2013/01/24/mary-jo-white-nominated-to-take-over-as-the-new-sec-chief/) ## [SEC Announces Intent to Propose Rule on Corporate Political Spending Disclosure](https://resources.jackolg.com/2013/01/11/sec-announces-intent-to-propose-rule-on-corporate-political-spending-disclosure/) ## [California’s Social Media Privacy Law Goes Into Effect](https://resources.jackolg.com/2013/01/09/californias-social-media-privacy-law-goes-into-effect/) ## [Social Media Sites Making Compliance Easier for Users](https://resources.jackolg.com/2012/12/29/social-media-sites-making-compliance-easier-for-users/) ## [Regulators Continue Focusing on Anti-Money Laundering Violations](https://resources.jackolg.com/2012/12/19/regulators-continue-focusing-on-anti-money-laundering-violations/) ## [FINRA Seeking Further Disclosure & Promotion of “BrokerCheck” Program](https://resources.jackolg.com/2012/12/07/finra-seeking-further-disclosure-promotion-of-brokercheck-program/) ## [Blog Update: Foreign Exchange Swaps and Foreign Exchange Forwards Will Not be Included in Swap Definition](https://resources.jackolg.com/2012/11/29/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](https://resources.jackolg.com/2012/11/20/california-department-of-corporations-announces-proposed-changes-to-investment-adviser-custody-rule/) ## [SEC Settlement Highlights Importance of Seeking Best Execution](https://resources.jackolg.com/2012/11/09/sec-settlement-highlights-importance-of-seeking-best-execution/) ## [NASAA Releases Annual Survey of Enforcement Activity by State Regulators](https://resources.jackolg.com/2012/11/01/nasaa-releases-annual-survey-of-enforcement-activity-by-state-regulators/) ## [FINRA Announces Plans to Open Arbitration Forum to Investment Advisers](https://resources.jackolg.com/2012/10/26/finra-announces-plans-to-open-arbitration-forum-to-investment-advisers/) ## [BD Corner: SEC Approves FINRA Rule 5123 Requiring Filing of Private Placement Offering Docs](https://resources.jackolg.com/2012/10/18/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](https://resources.jackolg.com/2012/10/12/nasaa-president-calls-on-sec-to-withdraw-proposed-rule-lifting-ban-on-general-solicitation/) ## [California Appeals Court Affirms Stringent Limits on Non-Compete Provisions](https://resources.jackolg.com/2012/10/05/california-appeals-court-affirms-stringent-limits-on-non-compete-provisions/) ## [CALIFORNIA ADOPTS THE REVISED UNIFORM LIMITED LIABILITY COMPANY ACT](https://resources.jackolg.com/2012/09/28/california-adopts-the-revised-uniform-limited-liability-company-act/) ## [BD Corner: California Appeals Court Clears Path for Greater Expungement](https://resources.jackolg.com/2012/09/21/bd-corner-california-appeals-court-clears-path-for-greater-expungement/) ## [SEC Accuses Radio Personality Ray Lucia with Misleading Clients](https://resources.jackolg.com/2012/09/07/sec-accuses-radio-personality-ray-lucia-with-misleading-clients/) ## [The Securities and Exchange Commission Awards Whistleblower](https://resources.jackolg.com/2012/08/24/the-securities-and-exchange-commission-awards-whistleblower/) ## [CFTC Publishes FAQs on Compliance Obligations for CPOs and CTAs](https://resources.jackolg.com/2012/08/16/cftc-publishes-faqs-on-compliance-obligations-for-cpos-and-ctas/) ## [ERISA Rule 404a-5 Disclosure Deadline on the Horizon](https://resources.jackolg.com/2012/08/10/erisa-rule-404a-5-disclosure-deadline-on-the-horizon/) ## [BD Corner: New Suitability Rule Takes Effect](https://resources.jackolg.com/2012/08/03/bd-corner-new-suitability-rule-takes-effect/) ## [New User Fee Bill Counters RIA SRO Bill](https://resources.jackolg.com/2012/07/27/new-user-fee-bill-counters-ria-sro-bill/) ## [Update: California Private Fund Adviser Exemption Submitted for Final Approval](https://resources.jackolg.com/2012/07/23/update-california-private-fund-adviser-exemption-submitted-for-final-approval/) ## [SEC and CFTC Finalize Rules and Interpretations on Key Terms for Regulating Derivatives](https://resources.jackolg.com/2012/07/19/sec-and-cftc-finalize-rules-and-interpretations-on-key-terms-for-regulating-derivatives/) ## [SEC Announces JOBS Act General Solicitation Rulemaking Delay](https://resources.jackolg.com/2012/07/13/sec-announces-jobs-act-general-solicitation-rulemaking-delay/) ## [California Department of Corporations Announces Additional Changes to Proposed Private Fund Adviser Exemption](https://resources.jackolg.com/2012/06/28/california-department-of-corporations-announces-additional-changes-to-proposed-private-fund-adviser-exemption-2/) ## [SEC Releases FAQs re: Form PF](https://resources.jackolg.com/2012/06/15/sec-releases-faqs-re-form-pf/) ## [GAO Calls On SEC to Strengthen Oversight of FINRA As Congress Weighs Investment Adviser SRO Legislation](https://resources.jackolg.com/2012/06/08/gao-calls-on-sec-to-strengthen-oversight-of-finra-as-congress-weighs-investment-adviser-sro-legislation/) ## [SEC Announces Charges in South Florida Ponzi Scheme](https://resources.jackolg.com/2012/06/05/sec-announces-charges-in-south-florida-ponzi-scheme/) ## [FINRA Enhances BrokerCheck Capabilities](https://resources.jackolg.com/2012/05/25/finra-enhances-brokercheck-capabilities/) ## [Reuters Releases Report Detailing HSBC’s Deficient Policing of Money Laundering Risks](https://resources.jackolg.com/2012/05/18/reuters-releases-report-detailing-hsbcs-deficient-policing-of-money-laundering-risks/) ## [New York High Court Rejects Unlawful Termination Claim by Hedge Fund Compliance Officer](https://resources.jackolg.com/2012/05/10/new-york-high-court-rejects-unlawful-termination-claim-by-hedge-fund-compliance-officer/) ## [ERISA Rule 408b-2 Disclosure Deadline Looms](https://resources.jackolg.com/2012/04/19/erisa-rule-408b-2-disclosure-deadline-looms/) ## [B-D Corner: FINRA Proposes Simplified Expungement for Reps Not Named in Arbitration](https://resources.jackolg.com/2012/04/13/b-d-corner-finra-proposes-simplified-expungement-for-reps-not-named-in-arbitration/) ## [SEC Shows Leniency to Whistleblower](https://resources.jackolg.com/2012/04/05/sec-shows-leniency-to-whistleblower/) ## [BD Corner: Increased Fines and Harsher Penalties Imposed on Brokers and Principals by FINRA in 2011](https://resources.jackolg.com/2012/03/23/bd-corner-increased-fines-and-harsher-penalties-imposed-on-brokers-and-principals-by-finra-in-2011/) ## [Retirement On The Horizon? Start Planning Now](https://resources.jackolg.com/2012/03/12/retirement-on-the-horizon-start-planning-now/) ## [Take Note of New Qualified Client Thresholds](https://resources.jackolg.com/2012/02/29/take-note-of-new-qualified-client-thresholds/) ## [Update on CA Private Fund Advisers’ Registration](https://resources.jackolg.com/2012/02/16/update-on-private-fund-advisers-registration/) ## [B-D Corner: Helpful Guidance for Supervision of Complex Products](https://resources.jackolg.com/2012/02/13/b-d-corner-helpful-guidance-for-supervision-of-complex-products/) ## [The End of the General Solicitation and Advertising Prohibition for Private Funds?](https://resources.jackolg.com/2012/01/26/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](https://resources.jackolg.com/2012/01/19/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?](https://resources.jackolg.com/2012/01/13/new-guidance-for-investment-advisers-social-media-should-advisers-dislike-their-likes/) ## [SEC Focuses on Suspicious Hedge Fund Performance to Identify Potential Fraud](https://resources.jackolg.com/2011/12/15/sec-focuses-on-suspicious-hedge-fund-performance-to-identify-potential-fraud/) ## [Tips from the Regulators: How to Conduct Robust Branch Office Inspections](https://resources.jackolg.com/2011/12/02/tips-from-the-regulators-how-to-conduct-robust-branch-office-inspections/) ## [Large Traders Must Identify Themselves December 1st](https://resources.jackolg.com/2011/12/02/large-traders-must-identify-themselves-december-1st/) ## [B-D Corner: More Disclosures and Filings Required For Private Placements](https://resources.jackolg.com/2011/11/23/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](https://resources.jackolg.com/2011/11/11/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](https://resources.jackolg.com/2011/11/02/nasaa-provides-guidance-on-top-ia-deficiencies-in-state-examinations/) ## [At Last – Congress Takes Steps to Facilitate Entrepreneurs’ Ability to Raise Capital](https://resources.jackolg.com/2011/10/28/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](https://resources.jackolg.com/2011/10/21/u-s-court-of-appeals-holds-that-finra-lacks-authority-to-collect-fines-through-court-proceedings/) ## [SEC Proposes Regulations Implementing the Volcker Rule](https://resources.jackolg.com/2011/10/14/sec-proposes-regulations-implementing-the-volcker-rule/) ## [News Alert: Mitigating Risks Associated with Master/Sub-Account Arrangements](https://resources.jackolg.com/2011/10/07/news-alert-mitigating-risks-associated-with-mastersub-account-arrangements/) ## [Rule 3a-4: Are Your Model Portfolios Really Investment Companies?](https://resources.jackolg.com/2011/09/29/rule-3a-4-are-your-model-portfolios-really-investment-companies/) ## [Department of Labor to Re-Propose Definition of “Fiduciary”](https://resources.jackolg.com/2011/09/23/department-of-labor-to-re-propose-definition-of-fiduciary/) ## [Investment Advisers May Soon Have A SRO – And FINRA Wants To Be It](https://resources.jackolg.com/2011/09/19/investment-advisers-may-soon-have-a-sro-–-and-finra-wants-to-be-it/) ## [SEC No-Action Letter Provides Further Guidance for Private Fund Solicitors](https://resources.jackolg.com/2011/09/12/sec-no-action-letter-provides-further-guidance-for-private-fund-solicitors/) ## [Rare East Coast Earthquake Serves as a Reminder to Review Business Continuity Plans](https://resources.jackolg.com/2011/09/01/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](https://resources.jackolg.com/2011/08/25/advances-in-technology-may-prompt-the-sec-into-revising-securities-registration-requirements/) ## 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