Events

    July 29, 2019

    SEC Exam Priorities

    Michelle L. Jacko presented on "SEC Exam Priorities" for the Investment Advisor (IA) Watch Webinar on March 24, 2015. 

    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

    Events

    Schwab Compliance Update Spring 2025

    February 14, 2025

    Schwab Compliance Update Spring 2025

    Events

    Top SEC Enforcement Actions of 2024 and What Investment Advisers and Broker-Dealers Can Learn from Them

    December 20, 2024

    Blog

    Key Compliance Considerations for Third-Party Vendor Oversight

    December 18, 2024
    view all