Daniel A. Nathan

Daniel A. Nathan

Morrison & Foerster LLP

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Agencies Issue Guidance for Foreign Banking Entities on the Application of the Marketing Restriction for the Volcker Rule’s SOTUS...

On Friday, February 27, 2015, the Volcker Inter-Agency Group posted a new frequently asked question (FAQ 13), clarifying the scope of the so-called “marketing restriction” under the SOTUS covered fund exemption. The SOTUS...more

3/3/2015 - Covered Funds Exemptions Foreign Banks Marketing Trade Restrictions Volcker Rule

FINRA Identifies Concerns with Marketing of Real Estate Investment Products

FINRA recently signaled a continuing focus on the marketing of real estate-related products by issuing a Regulatory Notice expressing concerns about communications involving unlisted, or non-traded, real estate investment...more

5/13/2013 - Disclosure Requirements FINRA Marketing Real Estate Investments

FINRA Identifies Concerns with Marketing of Real Estate Investment Products

FINRA’s concern with the marketing of real estate-related products is reaching fever pitch. Its recent Regulatory Notice draws recent reviews of communications and findings in recent FINRA disciplinary actions, and gives...more

5/10/2013 - DDPs FINRA Marketing Mortgage REITS Real Estate Investments

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