• Home
    • Insights
    • Compliance Considerations for Advisory Firms With Dually Registered Advisors in the Independent RIA and Hybrid Business Models

    Broker-Dealers

    May 5, 2011

    Compliance Considerations for Advisory Firms With Dually Registered Advisors in the Independent RIA and Hybrid Business Models

    Michelle L. Jacko's article,"Compliance Considerations for Advisory Firms With Dually Registered Advisors in the Independent RIA and Hybrid Business Models," was published in Charles Schwab's Compliance Review in the May 2011 issue.  

     

    Click Here to Read the Article

    About the author

    Michelle L. Jacko, Esq<br>

    Michelle L. Jacko, Esq
    Managing Partner and CEO

    Michelle L. Jacko, Esq. is the Managing Partner and CEO of Jacko Law Group, PC (“JLG”), which offers securities, corporate, real estate, and employment law counsel to broker-dealers, investment advise...

    Related Insights

    Annual Reviews & Risk Assessments

    How the SEC’s AI Guidance Aims to Protect Investors in the Digital Age

    December 13, 2024

    A lawyer typing on a laptop at a desk | Jacko Law Group, PC

    Broker-Dealers

    Strategic Defense Approach to SEC or FINRA Enforcement Actions

    September 30, 2024

    Close-up view of a lawyer preparing documents for FINRA defense | Jacko Law Group, PC

    Broker-Dealers

    California to Implement NASAA Continuing Education Model Rule in 2024

    December 29, 2023
    view all