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SEC No-Action Letter Addresses Financial Exploitation of Clients
15 Jun 2018, 12:04 pm by Elizabeth Dalziel
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/
FINRA Pay-to-Play Rule Applies to Capital Acquisition Brokers
15 Aug 2018, 5:28 am by Elizabeth Dalziel
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/
FinCEN Publishes Frequently Asked Questions Relating to New Customer Due Diligence Rules
27 Apr 2018, 2:30 pm by Elizabeth Dalziel
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 FINES 9 RIAS FOR MARKETING RULE VIOLATIONS
19 Sep 2023, 7:00 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/
Investment Adviser Settles Charges with the SEC Over Cherry-Picking Scheme
16 Apr 2018, 6:54 am by Elizabeth Dalziel
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/
What Firms Can Expect Now That the SEC is Back at Work
31 Jan 2019, 1:12 pm by Elizabeth Dalziel
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/
FINRA Proposes Changes to Gifts and Gratuities Rule
25 Aug 2016, 6:15 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 Settles Charges with Investment Adviser for Unauthorized Allocation of Expenses
10 Nov 2017, 7:57 am by Elizabeth Dalziel
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 SEC Cybersecurity Enforcement Case
8 Jul 2021, 9:27 am by Bryan Gort
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 Charges 27 Firms and Individuals With Deceptive Promotion of Stock
14 Apr 2017, 6:33 am by Elizabeth Dalziel
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 Provides Details on RIA Examination Program and Process
13 Sep 2023, 8:22 am by Charlie Jarrett
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 Warns Broker Dealers and Investment Advisers About Conflicts of Interest Related to Compensation Incentives
30 Aug 2022, 7:00 am by Katherine Oberlies
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/
Advertising Remains a Concern to the SEC’s RIA Examination Staff
8 Feb 2018, 11:27 am by Elizabeth Dalziel
” 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 Enforcement Continues to Sanction RIAs Over Excessive Fees
18 Sep 2020, 5:50 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/
What to Expect: SEC Announces Examination Priorities for 2023
7 Mar 2023, 7:35 am by Charlie Jarrett
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/
Maryland Amends its Securities Act Earlier this year the Maryland General Assembly amended parts of the Maryland Securities Act and added some new sections to it. The amendments went into effect on October 1, 2017. Changes to the Maryland Securities Act include the creation of the Securities Act Registration Fund, adoption of the North American Securities Administrators Association’s Senior Model Act to address financial exploitation of seniors, and changes in fees for certain filing categories. The amendments added a new section, Section 11-208, which establishes a Securities Act Registration Fund. The Fund’s purpose is “to help fund the direct and indirect costs of administering and enforcing the Maryland Securities Act.” The Fund will comprise registration fees, money that the State sets aside for the Fund in its budget, and any money accepted from any other source for the Fund’s benefit. The Fund cannot be used for any purpose other than administering and enforcing the Maryland Securities Act. The Maryland General Assembly also adopted NASAA’s Senior Model Act to address the financial exploitation of seniors. As discussed previously, NASAA adopted the Senior Model Act last year to provide state securities administrators with a framework for possible legislation to protect seniors and other vulnerable adults. The Maryland Securities Act now requires a broker-dealer or investment adviser who has a reasonable belief that a senior or other vulnerable adult has been financially exploited to inform the Maryland Securities Commissioner and a local department. A local department is a state authority tasked with addressing exploitation of vulnerable adults under Maryland’s family laws. The amendments will also permit a broker-dealer or investment adviser to delay disbursements from a senior or other vulnerable adult’s account if the broker-dealer or investment adviser reasonably believes that the disbursement could result in financial exploitation of the senior or other vulnerable adult. The amendments also
30 Nov 2017, 8:09 am by Elizabeth Dalziel
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/
Food Law Short Course and Seminar
3 May 2012, 6:55 am by Neal Fortin
MACINTYRE (invited), District Director, U.S. [read post]
International Food Law Blog - http://globalfoodlaw.foodlaw.org/
SEC Settles Charges with Investment Advisers and Representatives Over Use of Testimonials in Social Media
31 Jul 2018, 6:44 am by Elizabeth Dalziel
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/
FINRA to Prioritize Enforcement in 2018
9 Jan 2018, 3:45 pm by Elizabeth Dalziel
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 Proposes Business Continuity and Transition Plan Rule for RIAs
15 Jul 2016, 7:00 am by Steve Parker
  Parker MacIntyre, LLC 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/