http://www.njlawblog.com/ en-us Copyright 2007 Thu, 12 Jul 2007 08:17:12 -0500 Thu, 12 Jul 2007 08:55:03 -0500 http://www.movabletype.org/?v=3.21 http://blogs.law.harvard.edu/tech/rss 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. http://www.njlawblog.com/2007/07/articles/securities-compliance-arbitration/so-you-think-your-marketing-practices-are-compliant/ http://www.njlawblog.com/2007/07/articles/securities-compliance-arbitration/so-you-think-your-marketing-practices-are-compliant/ Securities Compliance & Arbitration Thu, 12 Jul 2007 08:17:12 -0500 rdeluca@stark-stark.com (Stark & Stark) 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. http://www.njlawblog.com/2007/05/articles/securities-compliance-arbitration/end-the-occupation-of-wall-street/ http://www.njlawblog.com/2007/05/articles/securities-compliance-arbitration/end-the-occupation-of-wall-street/ Securities Compliance & Arbitration Wed, 23 May 2007 08:09:51 -0500 rdeluca@stark-stark.com (Stark & Stark) 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. http://www.njlawblog.com/2007/05/articles/securities-compliance-arbitration/small-firms-upset-by-an-nasd-hiring/ http://www.njlawblog.com/2007/05/articles/securities-compliance-arbitration/small-firms-upset-by-an-nasd-hiring/ Securities Compliance & Arbitration Wed, 09 May 2007 08:03:31 -0500 rdeluca@stark-stark.com (Stark & Stark) 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. http://www.njlawblog.com/2007/04/articles/securities-compliance-arbitration/hey-there-insurance-agent-we-can-make-you-an-ria/ http://www.njlawblog.com/2007/04/articles/securities-compliance-arbitration/hey-there-insurance-agent-we-can-make-you-an-ria/ Securities Compliance & Arbitration Thu, 26 Apr 2007 08:09:28 -0500 rdeluca@stark-stark.com (Stark & Stark) 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. http://www.njlawblog.com/2007/03/articles/securities-compliance-arbitration/insurers-said-to-steer-reps-to-inhouse-wares/ http://www.njlawblog.com/2007/03/articles/securities-compliance-arbitration/insurers-said-to-steer-reps-to-inhouse-wares/ Securities Compliance & Arbitration Tue, 20 Mar 2007 08:33:50 -0500 rdeluca@stark-stark.com (Stark & Stark) 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. http://www.njlawblog.com/2007/03/articles/securities-compliance-arbitration/leaving-your-brokerage-firm-know-your-rights/ http://www.njlawblog.com/2007/03/articles/securities-compliance-arbitration/leaving-your-brokerage-firm-know-your-rights/ Securities Compliance & Arbitration Mon, 19 Mar 2007 08:29:30 -0500 rdeluca@stark-stark.com (Stark & Stark) 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. http://www.njlawblog.com/2007/02/articles/securities-compliance-arbitration/use-of-subadvisers-and-hedge-fund-managers/ http://www.njlawblog.com/2007/02/articles/securities-compliance-arbitration/use-of-subadvisers-and-hedge-fund-managers/ Securities Compliance & Arbitration Wed, 07 Feb 2007 08:44:14 -0500 rdeluca@stark-stark.com (Stark & Stark) 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. http://www.njlawblog.com/2007/02/articles/securities-compliance-arbitration/when-should-you-register-with-the-sec/ http://www.njlawblog.com/2007/02/articles/securities-compliance-arbitration/when-should-you-register-with-the-sec/ Securities Compliance & Arbitration Mon, 05 Feb 2007 08:49:41 -0500 rdeluca@stark-stark.com (Stark & Stark) Bill Singer was quoted in "Regulatory Union: A Joint NYSE/NASD Effort Could Increase Efficiency" in Investment Dealers Digest. http://www.njlawblog.com/2007/01/articles/securities-compliance-arbitration/nasdnyse-consolidation/ http://www.njlawblog.com/2007/01/articles/securities-compliance-arbitration/nasdnyse-consolidation/ Securities Compliance & Arbitration Thu, 18 Jan 2007 08:26:46 -0500 rdeluca@stark-stark.com (Stark & Stark) Bill Singer was quoted in "Eliot Spitzer's Rise to Gov. May Mark End of Wall St. Era" in Investor's Business Daily. http://www.njlawblog.com/2007/01/articles/securities-compliance-arbitration/changes-on-wall-street/ http://www.njlawblog.com/2007/01/articles/securities-compliance-arbitration/changes-on-wall-street/ Securities Compliance & Arbitration Mon, 15 Jan 2007 08:20:32 -0500 rdeluca@stark-stark.com (Stark & Stark) Bill Singer was quoted in "The Selling of the NASD/NYSE Regulatory Merger" in Traders Magazine. http://www.njlawblog.com/2007/01/articles/securities-compliance-arbitration/nasdnyse-regulatory-merger/ http://www.njlawblog.com/2007/01/articles/securities-compliance-arbitration/nasdnyse-regulatory-merger/ Securities Compliance & Arbitration Fri, 12 Jan 2007 08:17:29 -0500 rdeluca@stark-stark.com (Stark & Stark) 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. http://www.njlawblog.com/2007/01/articles/securities-compliance-arbitration/investment-adviser-compliance-update-winter-2007/ http://www.njlawblog.com/2007/01/articles/securities-compliance-arbitration/investment-adviser-compliance-update-winter-2007/ Securities Compliance & Arbitration Wed, 10 Jan 2007 08:38:27 -0500 rdeluca@stark-stark.com (Stark & Stark) Bill Singer was quoted in "Single Regulator Slated for Industry" in the January 2007 issue of On Wall Street magazine. http://www.njlawblog.com/2007/01/articles/securities-compliance-arbitration/securities-regulation-may-change/ http://www.njlawblog.com/2007/01/articles/securities-compliance-arbitration/securities-regulation-may-change/ Securities Compliance & Arbitration Thu, 04 Jan 2007 08:43:07 -0500 rdeluca@stark-stark.com (Stark & Stark) 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. http://www.njlawblog.com/2007/01/articles/securities-compliance-arbitration/hedge-funds-new-hedge-fund-rules-proposed-by-the-sec/ http://www.njlawblog.com/2007/01/articles/securities-compliance-arbitration/hedge-funds-new-hedge-fund-rules-proposed-by-the-sec/ Securities Compliance & Arbitration Wed, 03 Jan 2007 09:15:42 -0500 abuser@stark-stark.com (Aaron C. Buser) 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. http://www.njlawblog.com/2006/12/articles/securities-compliance-arbitration/new-jersey-legal-update-podcast-54/ http://www.njlawblog.com/2006/12/articles/securities-compliance-arbitration/new-jersey-legal-update-podcast-54/ Securities Compliance & Arbitration Fri, 15 Dec 2006 10:58:51 -0500 abuser@stark-stark.com (Aaron C. Buser) Aaron Buser was quoted in "SEC Raises the Bar for Fund Investors" in Financial Times, December 2006. http://www.njlawblog.com/2006/12/articles/securities-compliance-arbitration/sec-proposing-new-hedge-fund-regulations/ http://www.njlawblog.com/2006/12/articles/securities-compliance-arbitration/sec-proposing-new-hedge-fund-regulations/ Securities Compliance & Arbitration Thu, 14 Dec 2006 08:46:57 -0500 rdeluca@stark-stark.com (Stark & Stark) Thomas Giachetti was quoted on the article "Practice Management: What To Know Before You Break Away" in the Dow Jones Newswire. http://www.njlawblog.com/2006/12/articles/securities-compliance-arbitration/practice-management-for-financial-advisors/ http://www.njlawblog.com/2006/12/articles/securities-compliance-arbitration/practice-management-for-financial-advisors/ Securities Compliance & Arbitration Tue, 12 Dec 2006 09:02:56 -0500 rdeluca@stark-stark.com (Stark & Stark) 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. http://www.njlawblog.com/2006/12/articles/securities-compliance-arbitration/hedge-funds-to-selfregulate/ http://www.njlawblog.com/2006/12/articles/securities-compliance-arbitration/hedge-funds-to-selfregulate/ Securities Compliance & Arbitration Mon, 11 Dec 2006 09:01:59 -0500 abuser@stark-stark.com (Aaron C. Buser) 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. http://www.njlawblog.com/2006/12/articles/securities-compliance-arbitration/new-jersey-legal-update-podcast-52/ http://www.njlawblog.com/2006/12/articles/securities-compliance-arbitration/new-jersey-legal-update-podcast-52/ Securities Compliance & Arbitration Fri, 01 Dec 2006 08:23:39 -0500 abuser@stark-stark.com (Aaron C. Buser) 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. http://www.njlawblog.com/2006/10/articles/securities-compliance-arbitration/operational-risk-management/ http://www.njlawblog.com/2006/10/articles/securities-compliance-arbitration/operational-risk-management/ Securities Compliance & Arbitration Tue, 24 Oct 2006 08:56:48 -0500 rdeluca@stark-stark.com (Stark & Stark)