Beware The Pitfalls Of Using Finders
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Beware The Pitfalls Of Using Finders in December, 2014.… Read More
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Beware The Pitfalls Of Using Finders in December, 2014.… Read More
The U.S. Securities and Exchange Commission “SEC” recently announced that Karol L.K. Pollock is now the new leader of the examination program in the Los Angeles Regional Office. Ms. Pollock has worked in the Los Angeles office for 10 years,…
Private funds commonly use third parties, often known as finders, to raise capital from potential investors. When entering into arrangements with finders, private fund managers should carefully consider whether the finder is registered as a broker-dealer. Except in very…
Recently, the U.S. Securities and Exchange Commission (SEC) held a meeting to discuss recommendations from its Investor Advisory Committee (IAC) regarding broadening the definition of an “accredited investor” for natural persons. Under the Dodd-Frank Act, the SEC must review…
In its newly released financial report for fiscal 2014, the SEC has stated that they will be evaluating recommendations from a staff report to consider a uniform fiduciary standard for investment advisors and broker-dealers as well as finding ways to…
On October 24, 2014, the Securities and Exchange Commission (SEC) approved Municipal Securities Rulemaking Board’s (MSRB) Rule G-44, which is the MSRB’s first dedicated rule for municipal advisors. The new requirements take effect April 23, 2015, giving firms six months…
The Securities and Exchange Commission (SEC) today released an order instituting administrative and cease-and-desist proceedings against an investment advisory firm and three top officials for violating the custody rule that requires firms to follow certain procedures when they control…
The Legal Tip for Jacko Law Group titled 2014 Sec Enforcement Cases – A Year In Review was written in November, 2014.… Read More
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Considerations For Marketing Private Equity Funds in October, 2014.… Read More
Jacko Law Group P.C. (“JLG”) wrote the article titled Benefit Corporations – A New Avenue Available for Mission-Driven Corporations which was published in the San Diego County Bar Association (SDCBA) Newsletter in October, 2014.… Read More