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
- Oregon Implements Temporary Rules Regarding Proof of E&O Insurance for Advisers
17 August 2018 - FINRA Pay-to-Play Rule Applies to Capital Acquisition Brokers
15 August 2018 - SEC Publishes Risk Alert Detailing the Most Common Advisory Fee and Expense Compliance Deficiencies
9 August 2018 - SEC Settles Charges with Three Investment Advisers Over Violations of Pay-to-Play Rule
7 August 2018 - SEC Settles Charges with Investment Advisers and Representatives Over Use of Testimonials in Social Media
31 July 2018 - Wells Fargo Settles Charges with SEC For Misconduct in Sale of Market-Linked Investments
19 July 2018 - SEC Settles Charges with Investment Adviser for Failing to Disclose Conflicts of Interest
3 July 2018 - SEC Settles Charges With 13 Private Fund Advisers Over Filing Deficiencies
28 June 2018 - SEC No-Action Letter Addresses Financial Exploitation of Clients
15 June 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