Thomas M. Devaney

Thomas M. Devaney

Morrison & Foerster LLP

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Investment Management Legal + Regulatory Update -- July 2013

In This Issue: Regulatory Updates - SEC Proposes Money Market Reform; SEC Eases Ban on General Solicitation and General Advertising in Certain Private Placements; SEC and CFTC Adopt Joint Rules to Address...more

7/19/2013 - Broker-Dealer CFTC Disclosure Requirements FSOC General Solicitation Identity Theft Insider Trading Investment Funds JOBS Act Marketing Money Laundering Money Market Funds New Legislation New Regulations Nonbank Firms NYSE Private Placements SEC Social Media Tax Reform Whistleblowers

Investment Management Legal + Regulatory Update -- May 2013

In This Issue: Regulatory Updates - SEC Allows Limited Use of Social Media for Public Disclosure; Federal Reserve Board Publishes a Final Rule Specifying when Nonbank Firms are “Predominantly Engaged in...more

5/17/2013 - Broker-Dealer Custody Rule ETFs Federal Reserve Final Rules Investment Management Nonbank Firms Pensions Public Disclosure SEC Social Media Startups

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

New Freedoms & Heightened Scrutiny Complicate the US Private Fund Marketing Environment

Originally published in CorporateLiveWire on February 21, 2013. The last few years have witnessed tectonic shifts in U.S. laws and regulations that effect the management and operations of hedge funds, private equity...more

2/22/2013 - Advertising Barack Obama Dodd-Frank FINRA General Solicitation Investment Adviser Investment Advisers Act of 1940 JOBS Act Marketing Private Equity Funds Private Investment Funds Safe Harbors SEC Securities Act of 1933

Investment Management Legal + Regulatory Update -- February 2013

In This Issue: Regulatory Updates - FINRA overhaul of communications rules becomes effective and ICI and CoC appeal Rule 4.5 ruling. Enforcement + Litigation - Enforcement Division priorities target hedge...more

2/14/2013 - ALJ Brokers CoC Enforcement Fines FINRA Hedge Funds ICI Investment Adviser Investment Funds SEC Stock Repurchases Valuation

Investment Management Legal + Regulatory Update -- December 2012

In This Issue: Regulatory Updates - FSOC, FSB Turn Up Heat on SEC on Money Market Fund Reforms; SEC Staff: Beware of BDC Joint Transactions; SEC Reports 3,000 Whistles Blown in FYI 2012; Over 1500 Private Fund Advisers...more

12/18/2012 - CFTC CPO FSB FSOC FX Forwards FX Swaps Money Market Funds SEC

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