Thomas Giachetti on Muck Rack

Thomas Giachetti

As seen in: Newsweek Europe, Scientific American, The Conversation, CNA (Channel NewsAsia), Inverse, ScienceAlert, Missoulian, Idaho Press, ThinkAdvisor, LexBlog and
Chair of the Securities Practice Group of Stark & Stark, recognized author and commentator on investment-related legal matters.
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Articles

Don't Forget the Personal Rungs on the Career Ladder

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By Thomas Giachetti
| ThinkAdvisor Verified
As I approach the end of a career representing financial professionals, speaking at national events, conversing with famous plane seatmates, receiving various honors and even performing stand-up comedy, I want to provide a heartfelt message around achieving a more fulfilling work-life balance. This applies to younger people about to begin their careers and to older practitioners in the midst or end of theirs.
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The SEC Marketing Rule Sweep Has Begun

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By Thomas Giachetti
| ThinkAdvisor Verified
Expert Opinion March 25, 2024 at 01:56 PM Share & Print What You Need to Know Are you being too aggressive with your marketing efforts? Be careful. Don't assume marketing consultants are compliance experts. If you use, or market your use of, AI, be sure you have safeguards in place. In February, The enforcement unit of the Securities and Exchange Commission’s Boston branch commenced Marketing Rule sweeps, notifying affected firms to preserve and produce records.
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Advisors Face Enhanced Reporting of Say-on-Pay Votes

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By Thomas Giachetti
| ThinkAdvisor Verified
Expert Opinion February 21, 2024 at 03:07 PM Share & Print What You Need to Know Institutional investment managers are required to report executive compensation votes on the new version of Form N-PX. "Institutional investment manager" includes RIAs who manage client assets, and there's no exception for small holdings. Reporting on Form N-PX for say-on-pay votes starts Aug. 31, covering activity from July 1, 2023, to June 30, 2024.
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