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Results:1-10 of 215

Funds Talk: March 2018
  • Kramer Levin Naftalis & Frankel LLP
  • USA
  • March 1 2018

On Feb. 6, Jay Clayton and Christopher Giancarlo, the chairmen of the Securities and Exchange Commission (SEC) and the Commodity Futures Trading


Defining Injury to Property For Investment Losses
  • Squire Patton Boggs
  • USA
  • November 28 2016

Section 3420 of the New York Insurance Law provides for a limited direct right of action by an underlying plaintiff against an insurance company


“Tenuous” connection to professional services not enough to trigger exclusion, Ninth Circuit rules
  • Manatt Phelps & Phillips LLP
  • USA
  • May 20 2015

Finding a connection between allegedly wrongful conduct by a policyholder and the policyholder’s professional services to be too tenuous, the Ninth


FINRA provides guidance on communications regarding unregistered real estate investment offerings
  • Seyfarth Shaw LLP
  • USA
  • June 6 2013

FINRA recently completed a review of communications relating to offerings of unregistered real estate investment trusts ("REITs") and direct


FINRA identifies concerns with marketing of real estate investment products
  • Morrison & Foerster LLP
  • USA
  • May 10 2013

FINRA recently signaled a continuing focus on the marketing of real estate-related products by issuing a Regulatory Notice expressing concerns about


FINRA provides guidance on communications with the public concerning unlisted real estate investment programs
  • Katten Muchin Rosenman LLP
  • USA
  • May 10 2013

The Financial Industry Regulatory Authority (FINRA) has issued Regulatory Notice 13-18 (Regulatory Notice) to provide guidance to member firms on


FINRA requests comment on proposed amendments to NASD Rule 2340 to address values of unlisted Direct Participation Programs and Real Estate Investment Trusts
  • Winston & Strawn LLP
  • USA
  • March 12 2012

On March 7th, FINRA published a Regulatory Notice seeking comment on a revised proposal to amend NASD Rule 2340 (Customer Account Statements) to address the per share estimated values at which unlisted Direct Participation Programs (DPPs) and unlisted Real Estate Investment Trusts (REITs) are reported on customer account statements.


Your real estate fund and Dodd-Frank
  • Williams Mullen
  • USA
  • May 31 2011

Think the Dodd-Frank Act does not affect real estate investors?


Are captive broker-dealers in the tenant-in-common (TIC) and oil and gas direct participation industry on the road to extinction?
  • Foley & Lardner LLP
  • USA
  • October 23 2009

The stresses in the commercial real estate and oil and gas industries in the recent past have required the full concentration of sponsors, broker-dealers, and investors in the direct participation private placement market.


Jay A. Dubow
  • Pepper Hamilton LLP