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Searching Content indexed under Fund Management/ REITs by Anna T. Pinedo ordered by Published Date Descending.
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Volcker Rule Revisions Adopted By Agencies - August 29, 2019
The US federal banking and functional regulators ("Agencies")1 have finalized revisions to the proprietary trading and compliance program provisions of the Volcker Rule (the "2019 Revisions").2
United States
3 Sep 2019
2
Information Asymmetry And Equity Crowdfunding
In a recent paper, "Equity Crowdfunding and Governance: Toward an Integrative Model and Research Agenda," Douglas J. Cumming, Tom Vanacker, and Shaker A. Zahra consider the governance
United States
22 Apr 2019
3
Proxy Advisory Firms And Other Updates From The Commission's Investment Management Division
At the ICI Conference, Dalia Blass, Director of the Securities and Exchange Commission's Division of Investment Management, provided some insights on upcoming rulemaking initiatives.
United States
2 Apr 2019
4
2019 REIT IPO Market Update
Global REIT IPOs decreased dramatically – down 47 percent – from 49 REIT IPOs in 2017 to 26 REIT IPOs in 2018.
United States
18 Mar 2019
5
Safe Harbor For The Distribution Of Research Reports
On November 30, 2018, the SEC adopted a new rule 1 establishing a non-exclusive research report safe harbor for unaffiliated brokers or dealers that publish or distribute research reports...
United States
15 Jan 2019
6
Follow-On Offerings In 2018
According to statistics from Dealogic and the Citi Capital Markets Review and 2019 Outlook, there was a modest decline in 2018 follow-on offering volume compared to 2017.
United States
10 Jan 2019
7
SEC Expands Safe Harbor To Promote Research On Investment Funds
On November 30, 2018, the SEC adopted a new rule establishing a non-exclusive research report safe harbor for unaffiliated brokers or dealers that publish or distribute research reports regarding qualifying investment funds.
United States
10 Dec 2018
8
SEC Office Of Small Business Updates
At the Practising Law Institute's Annual Institute on Securities Regulation, a number of updates were provided by the Staff regarding ongoing initiatives within the Office of Small Business.
United States
13 Nov 2018
9
Investor Bulletin On Nontraditional Index Funds Covers Issues Familiar To Structured Products Investors
Many of the issues related to these nontraditional custom indices are familiar to those who are aware of the regulatory attention paid to complex products over the years.
United States
15 Aug 2018
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