Thomas D. Giachetti
Thomas D. Giachetti is Chairman of the Investment Management and Securities Practice of Stark & Stark. A former investment banker and NASD registered representative, Giachetti’s legal practice is devoted to investment-related matters, including the representation of investment advisers, financial planners, broker-dealers, CPA firms and registered reps.
March 26, 2012
How to Pass an SEC Limited Scope Exam
March 01, 2012
Are You Fulfilling Your ‘Mandatory’ Training Requirement?
February 01, 2012
Top 10 Compliance To-Do’s for 2012
January 01, 2012
The Large Trader Rule
November 28, 2011
Seven Easy Rules for a Safe Policies and Procedures Manual
November 01, 2011
The Long Arm of Dodd-Frank
October 01, 2011
SEC Adopts Family Office Rule
August 24, 2011
Dodd-Frank’s New Rules for Mid-Sized Advisors
August 01, 2011