Securities Compliance & Arbitration
The Date for Full Compliance with the SEC’s New Marketing Rule is Rapidly Approaching! Is Your Firm Ready?
Posted in Securities Compliance & Arbitration
Background of the New Marketing Rule As most Registered Investment Adviser firms (“RIAs” or “Advisers”) are aware, the Securities and Exchange Commission (SEC) adopted amendments to existing Rule 206(4)-1 (the advertising rule), under the Investment Advisers Act of 1940 (the “Act”), which modernized rules relative to RIA advertising and solicitation… Continue reading
COVID-19: Balancing Privacy Laws and Privacy Rights with Public Welfare
Posted in Securities Compliance & Arbitration
The presence of the Novel Coronavirus (“2019-nCoV” or more commonly known as “COVID-19”) is unprecedented in modern day times, as most of us have never experienced a global health threat. There are many unknowns with COVID-19 including, to what extent businesses are permitted to collect and share personal information and… Continue reading
Shareholder Thomas D. Giachetti Published Article in Investment Advisor
Posted in Securities Compliance & Arbitration, Stark News
Shareholder Thomas D. Giachetti, Chair of the Securities Practice Group, authored the article SEC Clarifies RIAs’ Cybersecurity Obligations, which was published in the November issue of Investment Advisor. The article explains how the Securities and Exchange Commission’s (SEC) recent cybersecurity focus will affect RIAs. The SEC’s Office of Compliance Inspections… Continue reading
Stark & Stark Shareholder Brian A. Carlis Featured in Wall Street Journal Article on Finra
Posted in Securities Compliance & Arbitration, Stark Events, Stark News
Brian A. Carlis, Shareholder and member of Stark & Stark’s Securities Arbitration Group, was featured in the article, “Few RIAs Accept Finra Invitation,” published in the Wall Street Journal on May 29, 2013. Continue reading
