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Sutherland Partners Eric A. Arnold, Clifford E. Kirsch, Susan S. Krawczyk and Brian L. Rubin are speaking on a Webinar entitled "Real Estate Funds and Alternative Investments: Impact of Recent FINRA Developments," March 25, 2010.
Recent FINRA regulatory and disciplinary actions reflect focused attention on the sale and marketing of alternative investments. For example, supervision requirements are expanding beyond core broker-dealer activities. In addition, rule proposals emanating from the FINRA rulebook consolidation project provide FINRA with new opportunities to access a broker-dealer's affiliates, regardless of whether the affiliates are engaged in a securities business.
Eric, Cliff, Susan and Brian will lead a discussion of advertising developments impacting real estate funds and alternative investments; supervision of outside business activities and non-core securities activities; FINRA's push to reach non-broker-dealer affiliate activity; private placements; and FINRA's 2010 exam priorities.
This Webinar is for broker-dealers, investment advisers, and sponsors of real estate funds and other alternative investments.
For more information and to register for this event, click here.