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"Friendship in a Time of Cyberattack"
7 Feb 2020, 7:27 am by Rick Garnett
Pope Francis, Guardini, Pieper, Berry, Simon, and MacIntyre all make appearances in Mike's discussion of friendship, time, technology, the university, and the polis. [read post]
PrawfsBlawg - http://prawfsblawg.blogs.com/prawfsblawg/
Robo-Advisers Included Among SEC Examination Priorities
31 Jan 2020, 9:03 am by Steve Parker
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
SEC Announces 2020 Examination Priorities
24 Jan 2020, 5:18 am by Steve Parker
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
SEC Proxy Guidance Questioned by Investor Groups
26 Dec 2019, 6:30 am by Steve Parker
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
SEC Issues Clarifying Guidance on New Form CRS
5 Dec 2019, 3:43 pm by Tom Zagorsky
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
Supreme Court and Congress Weigh-in on Future of SEC Disgorgement
25 Nov 2019, 12:48 pm by Tom Zagorsky
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
RIAs Mull SEC’s Proposed Changes to Cash Solicitation Rule
15 Nov 2019, 3:10 pm by Tom Zagorsky
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
South Carolina Adopts New Private Fund Adviser Exemption
30 Oct 2019, 9:06 am by Tom Zagorsky
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
SEC Wins Judgment Against RIA and Permanently Bars its Principal for “Cherry-Picking” Scheme
17 Oct 2019, 11:32 am by Tom Zagorsky
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
SEC Announces $37.9 Million Settlement with Two RIAs over Conflicts of Interest Violations
8 Oct 2019, 8:53 am by Tom Zagorsky
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
Eight States Sue the SEC in an Effort to Overturn Reg BI
25 Sep 2019, 9:38 am by Tom Zagorsky
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
OCIE Publishes New Compliance Risk Alert for RIAs Addressing Trading Practices
16 Sep 2019, 11:43 am by Tom Zagorsky
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
SEC Publishes New Guidance for SEC-Registered Advisers on Meeting Their Proxy Voting Obligations
10 Sep 2019, 5:14 am by Tom Zagorsky
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
SEC Sues Large RIA for Fraud in Latest Mutual Fund Revenue Sharing Case
29 Aug 2019, 8:54 am by Tom Zagorsky
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
Chairman Clayton Announces New SEC Policy for Granting Disqualification Waivers
11 Jul 2019, 2:52 pm by Tom Zagorsky
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
Massachusetts Adopts New Rules Mandating Additional Written Fee Disclosure by RIAs
25 Jun 2019, 12:44 pm by Tom Zagorsky
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
SEC Adopts Long-Awaited Regulation Best Interest and Amendments to Form ADV
13 Jun 2019, 12:34 pm by Tom Zagorsky
The SEC, on June 5th, adopted a comprehensive set of rules and interpretations that will have a profound effect on the brokerage and advisory industries going forward, first and foremost by revising the standard-of-conduct applicable to broker-dealers and their registered representatives in dealings with retail customers. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
Philosophy & Psychoanalysis
7 Jun 2019, 7:01 am
New Haven, CT: Yale University Press, 1996.MacIntyre, Alasdair C. [read post]
Ratio Juris - http://ratiojuris.blogspot.com/
State Securities Regulators’ Association Adopts Model Information Security Rule for RIAs
5 Jun 2019, 10:03 am by Tom Zagorsky
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
New OCIE Risk Alert Urges Advisers to Review Their Data Security Procedures
31 May 2019, 1:20 pm by Tom Zagorsky
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/