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Alternative Investments and Current Issues

SKU: FIN2100
General Credits
1
Price$50
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Description

This CLE program discusses rules governing alternative investments, REITs and private placements. This session emphasizes the importance of understanding product features, characteristics and possible risks for purposes of suitability determinations. This program will also provide guidance on steps firms can take to comply with their due diligence and supervisory obligations. Panelists discuss the features of popular and new forms of complex products and their role in portfolio diversification.

After attending this session, you will be able to:

  • Understand the latest regulatory developments related to alternative investments.
  • Explain FINRA’s Private Placement rules.
  • Discuss due diligence requirements and industry practices when recommending private placement and REIT securities.
  • Review effective practices when vetting complex products.

Lecturer Bios

Joseph E. Price, Esq.

Joseph E. Price is Senior Vice President, Corporate Financing/Advertising Regulation, at the Financial Industry Regulatory Authority. The FINRA Corporate Financing Department regulates capital-raising activities of broker-dealers; including equity, debt, REIT, closed-end fund, limited partnership offerings and private placements. The FINRA Advertising Regulation Department regulates broker-dealer sales materials, mutual fund advertisements, social media and other communications with the public. Mr. Price previously worked in various capacities at the Securities and Exchange Commission. He was an assistant general counsel and a special counsel in the Office of General Counsel and he was the Deputy Chief of the Office of Disclosure and Investment Adviser Regulation in the Division of Investment Management. Prior to working at the SEC, he was a litigator in the Bureau of Competition at the Federal Trade Commission. Mr. Price also worked as a compliance investigator at the Coffee, Sugar & Cocoa Exchange. He was an Adjunct Professor at Georgetown University Law Center from 1994 to 2002, where he taught “Current Issues in Securities Regulation” and “Disclosure under the Federal Securities Laws.” He graduated with distinction in economics from the University of Wisconsin and received his law degree from Fordham University.

Alan J. Berkeley, Esq.

Alan J. Berkeley is a corporate and securities regulatory lawyer whose practice encompasses corporate, Board and management counseling and crisis response, corporate transactions (including mergers, acquisitions, financing transactions for privately-held and public companies), regulatory and enforcement matters before the Securities and Exchange Commission and other securities regulatory bodies, and other corporate governance and compliance matters. He is a registered foreign lawyer with the Solicitors Regulation Authority in England and Wales and is registered as a foreign legal consultant in Brazil. Mr. Berkeley has more than 40 years of experience as counsel in corporate and business transactions and securities regulatory and enforcement matters. He has extensive professional association and academic activities, including many years as member of the adjunct faculty at Georgetown University and George Washington University law schools specializing in business planning and as a well-recognized speaker on professional and client education programs. Mr. Berkeley has been listed in The Best Lawyers in America in the category of Corporate Law since 2001. He has a J.D. from Georgetown University and B.S. from Cornell University.



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