Parker MacIntyre
Legal Services Provided
Attorneys
Arbitration & Mediation, Broker Fraud and Securities
Administrative, Broker Fraud, Business and Employment
Administrative, Business and Securities
Arbitration & Mediation, Business and Securities
Arbitration & Mediation, Personal Injury and Securities
Administrative, Business and Securities
Websites & Blogs
- SEC Weighs in on FINRA’s Proposed Rule Amendments Pertaining to Expungement Procedures
24 April 2018 - SEC Retail Strategy Task Force Working to Combat Misconduct Involving Retail Investors
19 April 2018 - Investment Adviser Settles Charges with the SEC Over Cherry-Picking Scheme
16 April 2018 - SEC Continues to Pursue Municipal Advisor Examinations
11 April 2018 - FINRA Seeks to Streamline and Strengthen Outside Business Activities and Private Securities Transactions Rules
2 April 2018 - Fifth Circuit Vacates DOL Fiduciary Rule While SEC Pushes Forward with Goal of Fiduciary Duty Reform
27 March 2018 - SEC Fines Adviser Who Obtained Misleading Morningstar Rating
16 March 2018 - SEC to Host National Compliance Outreach Seminar in April
15 March 2018 - Form ADV Amendments Vexing Some Advisers
14 February 2018
- An SEC Commissioner Hears and Heeds the Call to Rationalize the Private Placement Broker (“Finder”) Industry
7 March 2018 - South Dakota Proposes Rules Governing Federal Regulation Crowdfunding and Regulation A Notice Filings
21 November 2017 - Iowa Adopts Amendments Implementing Notice Filings for Federal Crowdfunding and Regulation A Offerings
16 November 2017 - Crowdfunding Portals – If You Build It, Will They Come?
18 October 2017 - Parker MacIntyre Publishes Whitepaper on Private Investment Fund Formation
3 October 2017 - Georgia Securities Commissioner Holds Second “Fairness Hearing” in Recent M&A Deal
25 August 2017 - SEC Chairman Delivers Speech Affirming Agency’s Role in Facilitating Capital Formation
17 July 2017 - Georgia Amends State “Crowdfunding” Rule to Conform to New SEC Rule 147A
17 July 2017 - Private Placement Brokers Await Attention by SEC
6 June 2017
Social Media
Contact & Map