Jacko Law Group, PC (JLG) specializes in transactional securities and corporate legal services. We have extensive experience in
the formation, registration and compliance of broker-dealer firms and affiliated persons for Broker-Dealers and registered
representatives includes, among other things:
• Formation of corporate entities, Broker-Dealers, Registered Investment Advisers and Hedge Fund entities;
• Transitioning Financial Consultants to the Independent Registered Investment Adviser Model (including
evaluation of non-solicitation / non-compete clauses with current firms, creation of a business model
and formation/registration);
• Creation, review and analysis of Contracts, Corporate Agreements & Client Documents;
• Authoring of disclosure documents (Form BD, Forms ADV and Offering Memorandums);
• Mergers & Acquisition Negotiations;
• Mock Regulatory Exams; and
• Formation and Maintenance of Compliance Programs
• Mergers and acquisitions
• Selling the advisory practice (succession planning)
• Solicitors and Referral Agreements
• Disclosure Documents
• Regulatory Responses
• Notice Filings on Form ADV Part 1
• Creation and Maintenance of Form ADV Part II, including Schedule F (Disclosure Brochure) and where
applicable, Schedule H (Wrap-fee Brochure)
• Consent letters to clients and third-party service providers
Broker-Dealer Formation
JLG has extensive experience in the formation, registration and compliance of broker-dealer firms and affiliated
persons. Broker-Dealers and registered representatives includes, among other things:
• Formation and registration of the broker-dealer entity
• Mergers and acquisitions
• Creating Written Supervisory Procedures (WSPs) and necessary brokerage forms and agreements
• Transitioning process: moving from one broker-dealer to another
• Assistance with NASD Rules 3010, 3012 and 3013 requirements (CEO Certification)
• Anti-money laundering programs
• Regulation S-P (Privacy Policies)
• Customer complaint responses
• Compliance with books and records requirements
• Continuing education
• Licensing and registration of registered persons and entities
• Broker-dealer advertising and sales literature reviews
• Business continuity and disaster recovery plans
• Broker-dealer sales transactions and practices
• Best execution reviews
• Surveillance solutions and creation of exception reports
• Guidance to regulatory and compliance issues, concerns and interpretations
Broker-Dealer Transitioning
One of the most challenging aspects in a representative's career is moving from one broker-dealer firm to another.
Jacko Law Group is here to help and provides the following services:
• Adviser to new business plan
• Advisement on business structure
• Formulation of business structure
• Counsel on state and federal securities laws, rules, regulations and requirements
• Review of legal agreements with current employer and creation and counseling of lawful "exit"
strategies
• Review and drafting of new client agreements
• Registration with regulatory agencies
• Development of policies and procedures for new independent practice
For more information about services, please Contact Us at (619) 298-2880.
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