Jacko Law Group, PC (“JLG”) continues to see a high volume of financial advisors transitioning from one broker-dealer or registered investment advisory firm to another. When advisors[1] change firms in the heavily-regulated financial industry, they and the firms they are joining must understand federal and state laws, as well as contractual limitations and how those considerations will factor in to the transition process.… Read More
On April 30, 2020, the Financial Industry Regulatory Authority (“FINRA”) celebrated the fifth anniversary of its Senior Help Line (the “Help Line”). The Help Line is a critical tool in FINRA’s initiative to combat financial exploitation of seniors and other vulnerable populations.
The Financial Industry Regulatory Authority (FINRA) is a government-authorized not-for-profit organization that oversees U.S. broker-dealers to ensure that everyone can participate in the market with confidence. Every year, FINRA publishes its areas of focus for the ongoing execution of its mission to protect investors and market integrity.
Michelle L. Jacko wrote the article titled Compliance Considerations for Advisory Firms With Dually Registered Advisors in the Independent RIA and Hybrid Business Models which was published in the Charles Schwab Compliance Review’s May 2011 issue. … Read More
Michelle L. Jacko published the article titled Developments Under NASD Rule 3012 – Supervisory Control Systems in the National Society of Compliance Professionals (NSCP) Currents’ May/June 2006 publication. … Read More
Michelle L. Jacko published the article titled Annual Compliance and Supervision Certification Lessons Learned by Broker-Dealers in the National Society of Compliance Professionals’ (NSCP) HotLine Memo in May, 2006. … Read More
Michelle L. Jacko presented on BD/IA – Dual Registrant Challenges at the National Society of Compliance Professionals’ (NSCP) National Meeting on October 22, 2014 in Washington, D.C.… Read More
David Sobel wrote a Legal Tip for Jacko Law Group titled WSPs: Windsor Street Capital, LP fka Meyers Associates, L.P. in April, 2019.… Read More
On January 22, 2019, the Financial Industry Regulatory Authority (FINRA) released its Annual Risk Monitoring and Examinations Priorities Letter, which outlined its focus areas for broker-dealer examinations in 2019. While many of these areas are carried over from the…
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled The AML “Fifth Pillar” in November, 2018.… Read More