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
Business and Securities
Websites & Blogs
- Recent DOL Action: Proposed Delay of Fiduciary Rule and New Transition Period Guidance
18 August 2017 - Date Drawing Near for Compliance with SEC Amendments to Form ADV and Recordkeeping Rules
8 August 2017 - New Wyoming Investment Adviser Registration Law Impacts SEC Registration Requirements
18 July 2017 - Nevada Enacts Statutory Amendments Creating Fiduciary Obligations for Investment Advisers and Broker-Dealers
12 July 2017 - SEC Charges Broker-Dealer for Violations Relating to Suspicious Activity Report Filings
11 July 2017 - SEC Charges Investment Adviser for Overbilling Clients to Pay Personal Expenses
10 July 2017 - SEC Proposes Amendments to Investment Advisers Act Regarding Small Business Investment Companies
29 June 2017 - Supreme Court Rules that SEC’s Ability to Seek Disgorgement is Subject to a Five-Year Statute of Limitations
13 June 2017 - SEC Charges Options Trading Instructor with Defrauding Investors in Private Funds
9 June 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 - SEC Adopts JOBS Act Inflation Adjustments for Title III Crowdfunding and Title I Emerging Growth Companies
25 May 2017 - On One-Year Anniversary of Reg CF, JOBS Act Author Urges Significant Revisions
24 May 2017 - States Begin to Adjust Exemptions as Effective Date for New Rule 147A Draws Near
16 February 2017 - SEC Adopts Final Rules Amending Intrastate and Small Offering Exemptions
30 November 2016
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