Recent Blog Posts

• So You Think Your Marketing Practices Are Compliant?
  Thomas Giachetti, Chair and Shareholder of Stark & Stark's Securities Compliance & Arbitration Group, authored the article So You Think Your Marketing Practices Are Compliant? for the May/June issue of the IMCA Monitor. ....
• End the Occupation of Wall Street
  Bill Singer, Shareholder of Stark & Stark's Securities Practice Group, authored the article, End the Occupation of Wall Street, for the May 18th edition of the New Jersey Law Journal. ....
• Small firms upset by an NASD hiring
  Bill Singer, Shareholder in Stark & Stark Securities Practice Group, was quoted in the article, Small Firms Upset by an NASD Hiring, in yesterday's Investment News. ....
• Hey There Insurance Agent: We Can Make You An RIA
  Bill Singer, Shareholder in Stark & Stark's Securities Compliance & Arbitration Group, was quoted in Monday's Investment News article, Hey There Insurance Agent: We Can Make You An RIA. ....
• Insurers said to steer reps to in-house wares
  Bill Singer, Shareholder of Stark & Stark's Securites Practice Group, was quoted in Insurers said to steer reps to in-house wares in the March 5, 2007 artilce in Investment News. ....
• Leaving Your Brokerage Firm? Know Your Rights
  Thomas Giachetti, Chair and Shareholder of Stark & Stark's Securities Practice Group, was quoted in the March 2007 TD Ameritrade Transition News article, titled, Thinking of Leaving Your Brokerage Firm and Going Solo? Make Sure You Know Your Rights. ....
• Use of Sub-Advisers and Hedge Fund Managers
  Antonino Ciappina authored "13 F - Have You Counted All of Your Assets? Use of Sub-Advisers and Hedge Fund Managers" for the January 2007 issue of The Active Manager. ....
• When Should You Register with the SEC?
  Tom Giachetti authored "When Should You Register: A Guide for When 'Tweeners' Should Register with the SEC" for the Expert's Corner column of the February issue of Investment Advisor magazine. ....
• NASD/NYSE Consolidation
  Bill Singer was quoted in "Regulatory Union: A Joint NYSE/NASD Effort Could Increase Efficiency" in Investment Dealers Digest. ....
• Changes on Wall Street
  Bill Singer was quoted in "Eliot Spitzer's Rise to Gov. May Mark End of Wall St. Era" in Investor's Business Daily. ....
• NASD/NYSE Regulatory Merger
  Bill Singer was quoted in "The Selling of the NASD/NYSE Regulatory Merger" in Traders Magazine. ....
• Investment Adviser Compliance Update - Winter 2007
  Stark & Stark's Investment Adviser Regulation group is pleased to announce that the latest Investment Adviser Compliance Update has been published and is available for download. ....
• Securities Regulation May Change
  Bill Singer was quoted in "Single Regulator Slated for Industry" in the January 2007 issue of On Wall Street magazine. ....
• Hedge Funds - New Hedge Fund Rules Proposed by the SEC
  The SEC has proposed rules that raise the hurdle investors must meet in order to enter the world of hedge funds. The proposed rules also seek to create a new anti-fraud provision under the Investment Advisers Act of 1940, which would apply to managers/investment advisers to pooled investment vehicles. ....
• New Jersey Legal Update - Podcast # 54
  This week's New Jersey Legal Update podcast will discuss the recent proposal by the SEC to increase the current hedge fund investment threshold to $2.5 million. This podcast will also discuss the SEC's newly proposed anti-fraud rule under the Advisor's Act of 1940. ....
• SEC Proposing New Hedge Fund Regulations
  Aaron Buser was quoted in "SEC Raises the Bar for Fund Investors" in Financial Times, December 2006. ....
• Practice Management for Financial Advisors
  Thomas Giachetti was quoted on the article "Practice Management: What To Know Before You Break Away" in the Dow Jones Newswire. ....
• Hedge Funds to Self-Regulate?
  There is concern over allegations that certain hedge funds may have been using their dual roles as investors and bankers in a way that allowed them to misuse otherwise nonpublic information in their trading activity. Regulators now hope that their concerns can be addressed in one of two ways: further regulation by the Securities and Exchange Commission or self-regulation by the hedge fund industry. ....
• New Jersey Legal Update - Podcast # 52
  This week's New Jersey Legal Update podcast will discuss the Employee Retirement Income Security Act (ERISA) of 1974. This podcast will give a brief summary of the act, and how ERISA can impact hedge funds. ....
• Operational Risk Management
  Oren Chaplin authored "Operational Risk Management" for the October issue of The Active Manager, the bimonthly journal of the National Association of Active Investment Managers. ....