Integral Factors for Your Firm’s Mock SEC Examination
The LawTV Video 3: Integral Factors for Your Firm’s Mock SEC Examination… Read More
The LawTV Video 3: Integral Factors for Your Firm’s Mock SEC Examination… Read More
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.
Adding a new company to your business portfolio can be the change that sparks massive growth for your business or triggers the decline of eventual financial ruin. Fortunately, with thorough research and guidance from experienced legal counsel, the risks of buying a company or merging your company with another company can be significantly reduced.
On July 30, 2020, the Securities and Exchange Commission (“SEC”) announced it was bringing charges against San Antonio-based CEO, Victor Lee Farias, and his firm, Integrity Aviation & Leasing (“IAL”), for defrauding investors, including police officers and other first-responders, out of approximately $14 million.
The LawTV Video 2: What to Know For Your Business Transition… Read More
Michelle L. Jacko wrote the Legal Risk Management Tip, “How to Improve Your Compliance Program,” in July for Jacko Law Group.… Read More
Whether it’s transitioning or breaking away, things like legal risks, business factors, and regulatory concerns, must be handled with care. Let our experienced team help.
On July 10, 2020, the U.S. Securities and Exchange Commission (“SEC”) released proposed changes to the rule requiring institutional managers to file Form 13F reports.
The changes include raising the reporting threshold from $100 million to $3.5 billion and eliminating the exclusion of smaller positions from the Form 13F report.
On Friday, June 26, the U.S. Securities and Exchange Commission (“SEC”) released updated responses to FAQs regarding Form CRS. Notwithstanding the timing of the updated FAQs, the additional guidance offers supplementary and expanded information regarding the SEC’s stance on important considerations for the Form CRS including:
Since March 2020, the Securities Exchange Commission (“SEC”) has been responding to the unexpected COVID-19 global pandemic by quickly issuing guidance, orders, FAQ’s and No-Action letters addressing the hardships that face investment companies and investment advisers. … Read More