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    Investment Adviser Regulatory Counsel (SEC & State)

    August 6, 2019

    SEC Key Topics—And How to Prepare for an Examination

    Michelle L. Jacko was featured in the Charles Schwab Advisor Services spring 2019 publication. In the article, "SEC key topics—and how to prepare for an examination" she discusses five key topics that resurface during routine exams, sweep exams and investigations, and offers guidance on preparing a strong regulatory process to demonstrate commitment to compliance.

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    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...

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