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 No-Action Letter Addresses Financial Exploitation of Clients
15 June 2018 - SEC Directors Stress Importance of Budget Request to Expand and Improve Investment Adviser Examinations
14 June 2018 - SEC’s 12b-1 Self-Reporting Deadline Looms
31 May 2018 - Lender’s $4.5 Million of Promissory Notes Were Unregistered Securities
29 May 2018 - Investment Advisers Cautioned not to Use Client Usernames and Passwords to Access Accounts
11 May 2018 - Texas Prioritizes Regulation of Cryptocurrencies
9 May 2018 - FinCEN Publishes Frequently Asked Questions Relating to New Customer Due Diligence Rules
27 April 2018 - 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
- 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