Parker MacIntyre
Legal Services Provided
Attorneys
Arbitration & Mediation, Securities and Stockbroker Fraud
Administrative, Business, Employment and Securities
Business, Securities and Stockbroker Fraud
Arbitration & Mediation, Business and Securities
Business, Securities and Stockbroker Fraud
Arbitration & Mediation, Personal Injury and Securities
Business, Securities and Stockbroker Fraud
Administrative, Business and Securities
Websites & Blogs
- OCIE Publishes New Compliance Risk Alert for RIAs Addressing Trading Practices
16 September 2019 - SEC Publishes New Guidance for SEC-Registered Advisers on Meeting Their Proxy Voting Obligations
10 September 2019 - SEC Sues Large RIA for Fraud in Latest Mutual Fund Revenue Sharing Case
29 August 2019 - SEC Reaffirms and Clarifies the Meaning of an Investment Adviser’s Fiduciary Duty
13 August 2019 - New OCIE Risk Alert Warns Advisers of Compliance Pitfalls in Hiring Individuals with Disciplinary Histories
25 July 2019 - Chairman Clayton Announces New SEC Policy for Granting Disqualification Waivers
11 July 2019 - Massachusetts Adopts New Rules Mandating Additional Written Fee Disclosure by RIAs
25 June 2019 - SEC Adopts Long-Awaited Regulation Best Interest and Amendments to Form ADV
13 June 2019 - State Securities Regulators’ Association Adopts Model Information Security Rule for RIAs
5 June 2019
- SEC Issues “Concept Release” Seeking Public Comment on Potential Overhaul of Commission’s Securities Registration Exemptions
8 August 2019 - SEC Adopts Temporary Rules to Extend Filing Deadlines in Response to Hurricane Michael
19 October 2018 - Do U.S. Securities Laws Apply to Your Transaction?
27 August 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
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