Regulatory Updates
SEC’s 2018 Examination Priorities Letter- Office of Compliance Inspections and Examinations (OCIE)
FINRA’s 2018 Regulatory and Examination Priorities Letter
FINRA Updates Private Placement Filer Form Pursuant to FINRA Rules 5122 and 5123
United States Department of Labor – Employee Benefits Security Administration
SEC’s Office of Compliance Inspections and Examinations and FINRA
Securities and Exchange Commission (“SEC”)
“Advisory Committee on Small and Emerging Companies Accreditor Investor Recommendations”
FINRA Regulatory Notice 15-02
Securities and Exchange Commission(Oct. 10, 2014)
SEC Recommendation of the Investor as Purchaser Subcommittee and the Investor Education Subcommittee: Accredited Investor Definition (2014)
SEC Office of Compliance Inspections and Examinations (Jan. 2014)
FINRA Regulatory Notice 13-26
U.S. Securities and Exchange Commission
“Eliminating the Prohibition on General Solicitation and General Advertising in Certain Offerings”
U.S. Securities and Exchange Commission
“Public Comments on SEC Regulatory Initiatives Under JOBS Act”
FINRA Notice to Members 12-55
FINRA Notice to Members 12-03
FINRA Notice to Members 11-44
“FINRA Requests Comment on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted…..”
FINRA Notice to Members 10-22
“Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings”
FINRA (NASD) Notice to Members 05-18
FINRA (NASD) Notice to Members 05-48
“Members’ Responsibilities When Outsourcing Activities to Third-Party Service Providers”
FINRA (NASD) Notice to Members 03-71
“NASD Reminds Members of Obligations When Selling Non-Conventional Investments”
Industry News
Notice 2019-07 A notice on a proposed revenue procedure providing a safe harbor for certain real estate enterprises that may be treated as a trade or business for purposes of the QBI deduction.
Investors Increasingly Turn to Alternatives, Andrea Zander, January 19, 2021
The Hype Surrounding Environmental, Social, and Governance Investing Robert E. Wright, December 3, 2020
Opportunity Zones Special Report James Holleman, Grubb Properties, September 2019
Federal and State Security Laws Considerations SEC.Gov Pub. L. No. 115-97, 131 Stat. 2054 (2017) July 15, 2019
Tax Notes – IRS Faulty Approach to CE Valuations Daniel A. Rosen & Baker McKenzie, June 24, 2019
SEC Wants to Ease Access to Private Placements Melanie Waddell, June 18, 2019
Treasury and IRS guidance on the new Qualified Business Income deduction IR-2019-04, January 18, 2019
Litigation Funding: An Increasingly Popular Investment Vehicle Thomas Janover- Kramer Levin (11/1/18)
SEC Charges Founders of Real Estate Crowdfunding Portal With Fraud The DI Wire (10/1/18)
NYTimes: Housing Market Slows, as Rising Prices Outpace Wages Ben Casselman (9/29/18)
Hybrids Considering Dumping FINRA and Working as RIAs Exclusively Bruce Kelly- Investment News (6/7/18)
P4C’s Legislative Solutions Protect Conservation, Address Abuses Partnership for Conservation (4/2018)
Rents Continue Their Downward Slide into April 2018 National Apartment Report- ABODO (4/2018)
SEC Advisor Exam Rates See Sharp Uptick Kenneth Corbin- Financial Planning (3/8/18)
Construction Costs Spike for Multifamily Projects Bendix Anderson- National Real Estate Investors (2/20/18)
Major apartment developer: There is an acute crisis headed our way Diana Olick- CNBC (2/16/18)
Real Estate Forecast 2018 Sheila Hopkins- Real Assets Advisor (12/1/2017)
Yale’s Endowment Returns 11.3% for Fiscal Year Jody Barhanovich- Institutional Real Estate, Inc. (10/2017)
Finra: Who’s watching the watchdog? Mark Schoeff Jr. and Bruce Kelly (9/2/2017)
Latest CoStar Commercial Repeat-Sale Analysis: Commercial Property Prices Remain in Slowdown Pattern Keosha Burns (3/30/2016)
“Citizen.VC No Action Letter: Clarity and Guidance for Conducting a Private Placement Online” Daniel I. DeWolf and Samuel Effron- Mintz Levin Cohn Ferris Glovsky and Popeo PC (08/10/2015)