FINRA Rule 5131 – How It Impacts Broker-Dealers And Private Funds
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled FINRA Rule 5131 – How It Impacts Broker-dealers And Private Funds in July, 2011.… Read More
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled FINRA Rule 5131 – How It Impacts Broker-dealers And Private Funds in July, 2011.… Read More
Registered investment advisers (“RIAs”) commonly engage accountants, attorneys, banks, broker-dealers and other third parties to solicit new investment advisory clients on the RIA’s behalf…
Jacko Law Group, PC (JLG) offers clients high quality legal counsel and representation on all regulatory, compliance and securities law matters. With unsurpassed expertise in the increasingly complex and highly regulated financial securities industry, JLG is uniquely situated to…… Read More
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Sec Adopts Rules Which Overhaul The Investment Adviser Regulatory Framework in June, 2011.… Read More
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled In The Spotlight: California And New York City – New Regulations Governing Solicitation Of Public Pensions Funds in May, 2011.… Read More
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Ongoing Sec Focus: Regulation S-P And Consumer Privacy in April, 2011.… Read More
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled The Sec Issues Responses To Form Adv Part 2 And Pay-to-play Rule Frequently Asked Questions in March, 2011.… Read More
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Sec Proposes Significant Reporting Requirements For Investment Advisers To Private Funds in February, 2011.… Read More
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled The Sec Approves New, Expanded Rules On Know Your Customer And Suitability in January, 2011.… Read More
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled The Sec Proposes New Exemptions For Advisers To Venture Capital Funds, Us Private Fund Advisers With Less Than $150 Million In Assets Under Management And Foreign Private Advisers in December, 2010.… Read More