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Searching Content indexed under Fund Management/ REITs by James Schwartz ordered by Published Date Descending.
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Structured Thoughts: News For The Financial Services Community, Volume 10, Issue 1
In a January 2019 interpretative letter, the Financial Industry Authority (FINRA) provided guidance to a registered broker-dealer as to the use of pre-inception index performance (PIP) data ...
United States
8 Mar 2019
2
A User’s Guide To The Volcker Rule
The legislation known as the Volcker Rule was enacted as part of the Dodd-Frank Wall Street Reform and Consumer Protection Act and codified in Section 13 of the Bank Holding Company Act.
United States
7 Jan 2014
3
The CFTC’s Interpretive Letters Regarding Securitizations, REITs And The Definition Of "Commodity Pool"
In two interpretive letters issued on October 11, the Division of Swap Dealers and Intermediary Oversight of the CFTC gave guidance as to which securitization vehicles and which real estate investment trusts may enter into swaps.
United States
8 Nov 2012
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