Thomas M. Devaney

Thomas M. Devaney

Morrison & Foerster LLP

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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

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