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  • Description
    Alternative investments, REIT’s and private placements as well as their features, characteristics, rules and potential for risk will all be discussed in this informative CLE course. Guidance on how firms can ensure compliance with their due diligence and supervisory obligations will be reviewed and panelists will explain the features of the newest and most popular forms of these products and how they can be used to diversify a portfolio.
  • Instructor Bio

    Joseph Price

    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 Berkeley

    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.