Trading Compliance
Jacko Law Group P.C. (“JLG”) wrote the article titled Trading Compliance which was published in the Charles Schwab Compliance Review’s September 2012 issue. … Read More
Jacko Law Group P.C. (“JLG”) wrote the article titled Trading Compliance which was published in the Charles Schwab Compliance Review’s September 2012 issue. … Read More
Yesterday the Securities and Exchange Commission instituted administrative proceedings against nationally syndicated radio personality and author Raymond J. Lucia. Lucia is the owner of Raymond J. Lucia Companies, Inc., a former federally registered investment adviser doing business as RJL Wealth…
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled How Compliance Failures Can Lead To Enforcement in September, 2012.… Read More
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Practical Considerations For Preventing Insider Trading in August, 2012.… Read More
The SEC Whistleblower Program (the “Program”), which became a final rule on August 12, 2011, provides incentives and protection to whistleblowers who provide the SEC with original information about violations of the federal securities laws. Under the Program, an “eligible…
This week the Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) published a set of Frequently Asked Questions (FAQs) addressing compliance obligations for Commodity Pool Operators (CPOs) and Commodity Trading Advisors (CTAs). The FAQs address a…
ERISA Rule 404a-5 was enacted in order to provide greater transparency to investors in 401(k) type pension plans. The rule was adopted two years ago, but the August 30, 2012 deadline for plan administrators to issue the required disclosures is…
FINRA recently published Regulatory Notice 12-25 to provide broker-dealers with additional guidance on the SRO’s new suitability rule, which took effect on July 9th. The new suitability standards under Rule 2111 were approved by the SEC in November, 2010. They were initially…
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Lift On General Solicitation Restrictions For Certain Private Funds in July, 2012.… Read More
During the June 6th hearing of the House Financial Services Committee, legislation was introduced by Representative Spencer Bachus (R-Ala.) that would create a new self-regulatory organization for Registered Investment Advisers “(RIA”) (H.R. 4624). During that session Representative Maxine Waters (D-Calif.)…