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Practice Areas
- Securities Law
- Business Law
- Gov & Administrative Law
Additional Practice Areas
- Registered Investment Adviser Compliance
- Broker Dealer Compliance
- Securities Litigation and Regulation
- Securities Enforcement
Fees
- Credit Cards Accepted
Accept Visa, MasterCard, Discover, and American Express
Jurisdictions Admitted to Practice
- Georgia
- 11th Circuit
- U.S. District Courts for the Eastern District of Michigan
- U.S. District Courts for the Northern Districts of Georgia
- U.S. District Courts for the Southern Districts of Georgia
Languages
- English
Professional Experience
- Partner
- Parker MacIntyre
- Current
- Partner
- Page Perry
- -
- Director of the Securities Division
- State of Georgia
- -
- Partner
- Parker, Terry & Center
- -
- Associate
- Kilpatrick & Cody
- -
Education
- The University of Georgia School of Law
- J.D.
- Honors: magna cum laude
- Activities: Recent Developments Editor of the Georgia Journal of International and Comparative Law (1985-86) and a member of the Order of the Coif (1986).
- Furman University
- B.A.
- Honors: Magna Cum Laude
Professional Associations
- American Bar Association
- State Securities Law and Regulation Liaison
- Current
- State Bar of Georgia
- Member
- Current
- North American Securities Administrators Association
- Member
- -
Publications
Articles & Publications
- Georgia Securities Act - Let the Buyer Beware
- Georgia Bar Journal
- Motions to Vacate: How Much Information Should Arbitrators Disclose?
- PIABA Bar Journal
Websites & Blogs
- Website
- J. Steven Parker's RIA Compliance Website Profile
- Website
- Page Perry Website
- Website
- Parker MacIntyre - RIA Compliance Website
- Blog
- RIA Compliance Blog
- 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 - SEC Directors Stress Importance of Budget Request to Expand and Improve Investment Adviser Examinations
14 June 2018
- Blog
- Small Business Investment Lawyers
- 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
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