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RIA Compliance Blog :: Published by RIA Compliance Lawyers :: Registered Investment Advisor Regulation Attorneys :: Parker MacIntyrePublished by Parker MacIntyre
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Justia Inc.
Timothy Stanley
1380 Pe●●●●●●●uite 2B
Moun●●●●View , California, 94043
UNITED STATES
View this contact
Justia Inc.
Timothy Stanley
1380 Pe●●●●●●●uite 2B
Moun●●●●View , California, 94043
UNITED STATES
View this contact
Justia Inc.
Timothy Stanley
1380 Pe●●●●●●●uite 2B
Moun●●●●View , California, 94043
UNITED STATES
View this contact
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RIA Compliance Blog :: Published by RIA Compliance Lawyers :: Registered Investment Advisor Regulation Attorneys :: Parker MacIntyre | riacomplianceblog.com Reviews
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Delaware Adopts Private Fund Adviser Exemption — RIA Compliance Blog
http://www.riacomplianceblog.com/2015/04/delaware-adopts-private-fund-a.html
Published By Parker MacIntyre. April 29, 2015. Delaware Adopts Private Fund Adviser Exemption. A “private fund adviser” is defined as “an investment adviser who provides advice solely to one or more qualifying private funds, other than a private fund that qualifies for the section (3)(c)(1) investment company act exclusion.” A “qualifying private fund” is a private fund meeting the SEC rule 203(m)-1 “qualifying private fund” definition. Prospective advisers to private funds such as hedge funds, private e...
New "Invest Georgia Exemption" Helps Small Businesses Raise Capital — RIA Compliance Blog
http://www.riacomplianceblog.com/2012/01/new-invest-georgia-exemption-e.html
Published By Parker MacIntyre. January 10, 2012. New “Invest Georgia Exemption” Helps Small Businesses Raise Capital. Any business wanting to raise capital using this new exemption must be a corporation or limited liability company (LLC) organized in Georgia and registered with the Secretary of State. In addition,. The offering of securities must meet the federal exemption for intrastate offerings requirements, Rule 147, meaning all investors must be Georgia residents;. The issuer must file a form of not...
Compliance Archives — RIA Compliance Blog
http://www.riacomplianceblog.com/compliance
Published By Parker MacIntyre. July 28, 2016. Private Equity Fund Adviser Sanctioned for Acting as Unregistered Broker-Dealer. Last month the Securities and Exchange Commission ( SEC ) sanctioned. A registered investment adviser and its managing member for violating the Investment Adviser’s Act of 1940 ( Adviser’s Act ) and for acting as an unregistered broker-dealer in connection with the services the adviser provided to a private fund that it managed and the fees charged for those services. Broker-deal...
Form ADV Archives — RIA Compliance Blog
http://www.riacomplianceblog.com/form-adv
Published By Parker MacIntyre. October 6, 2015. State Investment Adviser and Securities Regulators Hold Annual Conference. Of interest to state-registered investment advisers are proposed amendments to Part 1B of Form ADV that would attempt to capture an RIA’s use of social media and information on the use of third-party compliance professionals. NASAA also presented the findings of its 2015 coordinated investment adviser examination review. October 6, 2015. May 4, 2016 10:36 am. July 15, 2015. Have been...
Proposed SEC Amendments to Form ADV and Rules Under the Investment Advisers Act — RIA Compliance Blog
http://www.riacomplianceblog.com/2015/07/proposed-sec-amendments-to-for.html
Published By Parker MacIntyre. July 15, 2015. Proposed SEC Amendments to Form ADV and Rules Under the Investment Advisers Act. The purpose of all the proposed amendments is to assist the SEC in examination efforts and work to help the SEC better recognize any fraudulent activities related to investment advisers and hopefully reduce any such incidents. Comments regarding the amendments should be submitted on or before August 11, 2015. July 15, 2015. May 4, 2016 10:42 am. I have read the disclaimer*. P...
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Investment Attorney :: Expert Witness and Consulting Services :: Atlanta Broker-Dealer Lawyer
http://www.riacompliancelawyer.com/lawyer-attorney-2351511.html
Investment Attorney Parker MacIntyre Home. Contact Atlanta Broker-Dealer Lawyer Parker MacIntyre. Daniel I. MacIntyre. Robert D. Terry. Pratt H. Davis. Bryan W. Gort. Investment Adviser Formation, Regulation and Compliance. Broker-Dealer Formation, Regulation and Compliance. Financial Services / Securities Litigation and Arbitration. Hedge Funds Formation, Regulation and Compliance. Private Placements and Offerings. Financial Professional Employment Law and Regulation. Enter text from the Image Above:.
Securities Arbitration Lawyer :: Financial Services / Securities Litigation and Arbitration :: Financial Services Litigation Attorney
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Securities Arbitration Lawyer Parker MacIntyre Home. Contact Financial Services Litigation Attorney Parker MacIntyre. Daniel I. MacIntyre. Robert D. Terry. Pratt H. Davis. Bryan W. Gort. Investment Adviser Formation, Regulation and Compliance. Broker-Dealer Formation, Regulation and Compliance. Financial Services / Securities Litigation and Arbitration. Hedge Funds Formation, Regulation and Compliance. Private Placements and Offerings. Financial Professional Employment Law and Regulation. Broker-Dealer F...
Investment Broker-Dealer Attorney :: About the Firm :: Atlanta Financial Services Compliance Lawyer
http://www.riacompliancelawyer.com/lawyer-attorney-1771533.html
Investment Broker-Dealer Attorney Parker MacIntyre Home. Contact Atlanta Financial Services Compliance Lawyer Parker MacIntyre. Daniel I. MacIntyre. Robert D. Terry. Pratt H. Davis. Bryan W. Gort. Investment Adviser Formation, Regulation and Compliance. Broker-Dealer Formation, Regulation and Compliance. Financial Services / Securities Litigation and Arbitration. Hedge Funds Formation, Regulation and Compliance. Private Placements and Offerings. Financial Professional Employment Law and Regulation. Exper...
Investment Regulation Lawyer :: Attorneys/Professionals :: Investment Broker Compliance Attorney
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Investment Regulation Lawyer Parker MacIntyre Home. Contact Investment Broker Compliance Attorney Parker MacIntyre. Daniel I. MacIntyre. Robert D. Terry. Pratt H. Davis. Bryan W. Gort. Investment Adviser Formation, Regulation and Compliance. Broker-Dealer Formation, Regulation and Compliance. Financial Services / Securities Litigation and Arbitration. Hedge Funds Formation, Regulation and Compliance. Private Placements and Offerings. Financial Professional Employment Law and Regulation. Pratt H. Davis.
Investment Regulation Attorney :: Bryan W. Gort :: Atlanta Investment Broker Compliance Lawyer
http://www.riacompliancelawyer.com/lawyer-attorney-2248326.html
Investment Regulation Attorney Parker MacIntyre Home. Contact Atlanta Investment Broker Compliance Lawyer Parker MacIntyre. Daniel I. MacIntyre. Robert D. Terry. Pratt H. Davis. Bryan W. Gort. Investment Adviser Formation, Regulation and Compliance. Broker-Dealer Formation, Regulation and Compliance. Financial Services / Securities Litigation and Arbitration. Hedge Funds Formation, Regulation and Compliance. Private Placements and Offerings. Financial Professional Employment Law and Regulation. Please no...
Broker-Dealer Lawyer :: Daniel I. MacIntyre :: Hedge Fund Regulation Attorney
http://www.riacompliancelawyer.com/lawyer-attorney-1791505.html
Broker-Dealer Lawyer Parker MacIntyre Home. Contact Hedge Fund Regulation Attorney Parker MacIntyre. Daniel I. MacIntyre. Robert D. Terry. Pratt H. Davis. Bryan W. Gort. Investment Adviser Formation, Regulation and Compliance. Broker-Dealer Formation, Regulation and Compliance. Financial Services / Securities Litigation and Arbitration. Hedge Funds Formation, Regulation and Compliance. Private Placements and Offerings. Financial Professional Employment Law and Regulation. Daniel I. MacIntyre. Mr MacIntyr...
Investment Lawyer :: Financial Services Arbitration/Litigation :: Broker-Dealer Attorney
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Investment Lawyer Parker MacIntyre Home. Contact Broker-Dealer Attorney Parker MacIntyre. Daniel I. MacIntyre. Robert D. Terry. Pratt H. Davis. Bryan W. Gort. Investment Adviser Formation, Regulation and Compliance. Broker-Dealer Formation, Regulation and Compliance. Financial Services / Securities Litigation and Arbitration. Hedge Funds Formation, Regulation and Compliance. Private Placements and Offerings. Financial Professional Employment Law and Regulation. Expert Witness and Consulting Services.
Investment Broker Compliance Lawyer :: Publications :: Financial Services Regulation Attorney
http://www.riacompliancelawyer.com/lawyer-attorney-1772326.html
Investment Broker Compliance Lawyer Parker MacIntyre Home. Contact Financial Services Regulation Attorney Parker MacIntyre. Daniel I. MacIntyre. Robert D. Terry. Pratt H. Davis. Bryan W. Gort. Investment Adviser Formation, Regulation and Compliance. Broker-Dealer Formation, Regulation and Compliance. Financial Services / Securities Litigation and Arbitration. Hedge Funds Formation, Regulation and Compliance. Private Placements and Offerings. Financial Professional Employment Law and Regulation. Hedge Fun...
Broker-Dealer Compliance Attorney :: Broker-Dealer Formation, Regulation and Compliance :: Atlanta Broker-Dealer Regulation Lawyer
http://www.riacompliancelawyer.com/lawyer-attorney-1772161.html
Broker-Dealer Compliance Attorney Parker MacIntyre Home. Contact Atlanta Broker-Dealer Regulation Lawyer Parker MacIntyre. Daniel I. MacIntyre. Robert D. Terry. Pratt H. Davis. Bryan W. Gort. Investment Adviser Formation, Regulation and Compliance. Broker-Dealer Formation, Regulation and Compliance. Financial Services / Securities Litigation and Arbitration. Hedge Funds Formation, Regulation and Compliance. Private Placements and Offerings. Financial Professional Employment Law and Regulation. We serve t...
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Welcome | TrustCo RIA Compass
THE TRUST SERVICE MODEL. Welcome to the RIA Compass. Taking your company to the next level can be challenging, no matter what size your business is. That's where the RIA Compass. Comes in. Take this quick 5-minute assessment to see how you compare with others in your industry and where your business has the most potential for growth. A handy downloadable report will provide you with helpful suggestions for how to best improve in those areas and drive your business forward. Trust Company of America.
RIA Compliance Blog :: Published by RIA Compliance Lawyers :: Registered Investment Advisor Regulation Attorneys :: Parker MacIntyre
Published by RIA Compliance Lawyers :. Registered Investment Advisor Regulation Attorneys :. SEC Enforcement Actions Against Corporate Officers - Targeting or Responsible Monitoring? July 31, 2015 , by Shay Virtue. In SEC Chairwoman Mary Jo White's opening statement to about 1,000 broker-dealer compliance officials at the Annual Broker-Dealer Compliance Outreach Program. Continue reading "SEC Enforcement Actions Against Corporate Officers - Targeting or Responsible Monitoring? Have been proposed to form ...
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Les Abromovitz, author of GROWING WITHIN THE LINES: THE INVESTMENT ADVISER'S ADVERTISING AND MARKETING COMPLIANCE GUIDE, can help you create advertisements that comply with the strict regulations that apply to Registered Investment Advisers (RIAs). Les is the author of THE INVESTMENT ADVISOR'S COMPLIANCE GUIDE, published in 2012 by the National Underwriter Company, a division of Summit Business Media. Website Designed at Homestead Create a Website.
RIA Compliance Lawyer - Investment Broker-Dealer Attorney - Atlanta Financial Services Lawyer
RIA Compliance Lawyer Parker MacIntyre Home. Contact Investment Broker-Dealer Attorney Parker MacIntyre. Daniel I. MacIntyre. Robert D. Terry. Bryan W. Gort. Investment Adviser Formation, Regulation and Compliance. Broker-Dealer Formation, Regulation and Compliance. Financial Services / Securities Litigation and Arbitration. Hedge Funds Formation, Regulation and Compliance. Private Placements and Offerings. Financial Professional Employment Law and Regulation. Expert Witness and Consulting Services.
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