{"id":5649,"date":"2014-07-07T00:00:00","date_gmt":"2014-07-07T05:00:00","guid":{"rendered":"https:\/\/institutionalinvestorsecuritiesblog.blawgcloud.com\/2014\/07\/nontraded_reits_structured_pro"},"modified":"2022-03-11T10:18:28","modified_gmt":"2022-03-11T16:18:28","slug":"nontraded-reits-structured-pro","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/nontraded-reits-structured-pro\/","title":{"rendered":"Non-Traded REITs, Structured Products, and Private Placements Remain Under Regulator Scrutiny"},"content":{"rendered":"\n

According to state regulators, non-traded real estate investment trusts, structure products, and private placements, are some of the financial instruments that the states and insurance regulators are watching closely. First Deputy Commissioner of the Iowa Insurance Division Jim Mumford and Alabama Securities Commission director Joseph P. Borg recently spoke at a panel at the Insured Retirement Institute’s Government, Legal and Regulatory Conference.<\/p>\n

Borg noted that a growing number of agents are now selling unlicensed financial products, with insurance agents selling private placements and getting clients away from insurance products and into Regulation 506 of Regulation D. The rule establishes a safe harbor for securities\u2019 private offerings. Such instruments are only supposed to be made available to accredited investors and non-accredited investors that have enough sophistication to be able to assess this type of investment. Agents, however, have tried to circumvent securities laws by claiming that a (nonexistent) attorney gave them a letter stating that the private offering actually wasn\u2019t a security.<\/p>\n

Also up for sale lately are self-directed IRAs and promissory notes. Structured products have also been quite popular, although unfortunately, Borg noted, many agents and brokers don\u2019t even understand what they are selling.<\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

According to state regulators, non-traded real estate investment trusts, structure products, and private placements, are some of the financial instruments that the states and insurance regulators are watching closely. First Deputy Commissioner of the Iowa Insurance Division Jim Mumford and Alabama Securities Commission director Joseph P. Borg recently spoke at a panel at the Insured […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3772,3759,3894],"tags":[],"class_list":["post-5649","post","type-post","status-publish","format-standard","hentry","category-private-placements","category-reits","category-structured-products"],"yoast_head":"\nNon-Traded REITs, Structured Products, and Private Placements Remain Under Regulator Scrutiny — Investor Lawyers Blog — July 7, 2014<\/title>\n<meta name=\"description\" content=\"According to state regulators, non-traded real estate investment trusts, structure products, and private placements, are some of the financial instruments — July 7, 2014\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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