Fall 2012 Regulatory Compliance “Hot Topics”
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Fall 2012 Regulatory Compliance “Hot Topics” in October, 2012.… Read More
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Fall 2012 Regulatory Compliance “Hot Topics” in October, 2012.… Read More
This week the president of FINRA’s office of dispute resolution, Linda Feinberg, announced the SRO will open its arbitration forum to registered investment advisers. The statement was made at the annual meeting of the Public Investors Arbitration Bar Association where…
In a news conference this week, North American Securities Administrators Association (“NASAA”) President and Arkansas Securities Commissioner Heath Abshure sharply criticized the SEC’s proposed rule allowing marketing of private offerings. Mr. Abshure, who was joined in the conference by Cristina…
This week the Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) published a set of Frequently Asked Questions (FAQs) addressing compliance obligations for Commodity Pool Operators (CPOs) and Commodity Trading Advisors (CTAs). The FAQs address a…
FINRA recently published Regulatory Notice 12-25 to provide broker-dealers with additional guidance on the SRO’s new suitability rule, which took effect on July 9th. The new suitability standards under Rule 2111 were approved by the SEC in November, 2010. They were initially…
On July 17, 2012 the California Department of Corporations Commission filed final amendments to Section 260.204.9 of Title 10 of the California Code of Regulations with the state’s Office of Administrative Law (OAL). As reported here earlier this year, the…
This month, the SEC and the Commodity Futures Trading Commission (CFTC) adopted final rules defining what derivative products will be regulated under Title VII of Dodd-Frank. That Title establishes a comprehensive new regulatory framework for swaps and security-based swaps, giving…
On June 28, 2012 SEC Chairman Mary Shapiro appeared before a House subcommittee to testify about the agency’s implementation of the Jumpstart Our Business Startups Act (JOBS Act). Title II of that legislation requires the SEC to implement ground-shifting rule…
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Erisa 408(b)(2) Disclosures: Are You Ready? in June, 2012.… Read More
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Proposed Legislation Could Mean SRO Oversight For Investment Advisers in May, 2012.… Read More