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REISA Symposium Offers Insight into FINRA Regulations

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RISMEDIA, April 6, 2011—The Real Estate Investment Securities Association (REISA) recently hosted its 2011 Spring Symposium, which drew more than 400 attendees to hear the latest FINRA updates. More than 400 industry professionals, including 100 broker-dealer and RIA companies attended the 2011 Symposium at the Hyatt Regency Irvine in Southern California. Leading real estate securities professionals including sponsors, broker-dealers, registered investment advisors (RIAs), registered representatives, financial advisors, qualified intermediaries, attorneys, CPAs, lenders, custodians, mortgage brokers and other industry related professionals gathered for one-of-a kind networking and educational opportunities.

“This year’s symposium included presentations from leading FINRA, SEC and NASAA representatives,” said Jim Fitzpatrick, REISA Conference Planning Committee Chair. “The impressive turnout is a clear indication that industry professionals remain committed to the future of the industry and betterment of investors.”

Joe Price, senior vice president of corporate financing/advertising regulation, and Richard Berry, senior vice president and director of case administration and regional office services, shared FINRA’s perspective on the latest insight on current proposals and rule changes, pricing of transactions, filing requirements, fiduciary standards for registered reps, and challenges of small issuer offerings in the post-Dodd-Frank era.

Keynote Speaker Stan Ross opened the event with a discussion of the state of the economy and key trends that are currently impacting real estate. He presented the current process of how banks and companies are restructuring their real estate assets and where the opportunities and pitfalls in the marketplace lie.

A variety of breakout sessions and closed-door sessions offered attendees the opportunity to interact with regulators and industry experts to examine current industry trends and issues and discuss new strategies to address current business needs. A Southern California stars of real estate panel expressed predictions of future opportunities and innovative ideas on how to build success in the current marketplace. Among the most popular sessions this year were:

-Regulatory Audits: What to expect
-Equipment as an Adjunct to a Client’s Real Estate Allocation
-Broker-Dealer Due Diligence Review Process
-The New Life of Reps & RIAs: FINRA’s Impact
-Understanding the Implication of UBTI in Private Placement Structuring
-Advanced Tax Planning
-Gold Standards of Successful Non-Traded REIT Distribution

The response from attendees and exhibiting companies was tremendous. The level of enthusiasm and optimism throughout the event and emergence of new industry players continues to put REISA events at the forefront of one of the industry’s leading events.

“The REISA Symposium is one of the only conferences that gave me direct access to ask questions of key industry FINRA and SEC regulators,” said a first-time attendee. “The experience and quality of panelists was the best I’ve experienced in decades,” said William Cantrell, ASG Securities Inc.

Presentations from the event are available online. REISA will hold its Annual Conference October 16-18, 2011 at the Mirage Resort in Las Vegas. For more information, contact Jill Delaney at 317-663-4175 or email jdelaney@reisa.org.

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