Joel Beck

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About The Beck Law Firm, LLC

  • Joel Beck, a former NASD Department of Enforcement lawyer, formed The Beck Law Firm, LLC in 2007. Joel's practices focuses on three main areas: 1) broker-dealer and registered investment adviser regulation/compliance, regulatory investigations and enforcement actions, and arbitration cases, 2) business formations and small business legal needs, and 3) basic estate planning.

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  • The Beck Law Firm, LLC and Joel Beck, the author of this blog, provide this material for informational purposes only. While we believe the content to be accurate, we make no guarantee to that effect. Use of this blog does not create an attorney/client relationship and The Beck Law Firm, LLC does not represent you unless and until we have entered into a written representation agreement. The hiring of an attorney is an important decision and should not be based upon advertisements, including websites and blogs. Please contact us for additional information about our qualifications before making a decision.

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  • I welcome comments on most postings, and like to keep the discussion going. Comments are moderated and will not post until publisher review. Comments that don't relate to the topics and subject matter of the blog, and seek only to provide links for other websites, will not not be published. The Beck Law Firm, LLC and Joel Beck are not responsible for contents of the published comments, and do not necessarily share the same views as the commenter.

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January 30, 2009

More Regulation coming to Hedge Funds?

This week, Jim Hamilton over at Jim Hamilton's World of Securities Regulation, posted an article about the recent introduction of a bill by Senators Carl Levin and Charles Grassley, seeking to make hedge funds register with the SEC and to be subject to the SEC's regulations and oversight. Jim also notes what type of information would be required to be made publicly available by the registered funds, and would also grant the SEC authority to obtain additional information.  Its worth a read.  Click the link above.

Posted at 02:34 PM in Broker-Dealer/RIA Legal Issues |

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