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Financial Product and Money Manager Due Diligence (January 2009)
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Snyder Kearney Submits Comments to the SEC on the National Association of Realtors Request for Exemption from Broker-Dealer Registration (December 2007)
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TICs as Real Estate or Securities: Insignificant Sponsors? (November 2007)
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Due Diligence of 1031 Offerings (April 2007)
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Consider NASD NTM 05-48: Who Should Perform a Broker-Dealer’s TIC Due Diligence?
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Nature of the Due Diligence Obligation
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1031 Tax Primer
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U.S. Securities and Exchange Commission (
www.sec.gov
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Internal Revenue Service (
www.irs.gov
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North American Securities Administrators Association (
www.nasaa.org
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Investment Program Association (
theipaonline.org
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Financial Industry Regulatory Authority (
www.finra.org
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Securities Lawyer’s Deskbook (
www.law.uc.edu/CCL/index.html
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Investment Advisor Registration Depository (
www.adviserinfo.sec.gov/IAPD/Content/IapdMain/iapd_SiteMap.aspx
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The National Due Diligence Alliance (
www.tndda.com
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National Association of Independent Broker Dealers (
www.naibd.com
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Real estate programs:
Tenant in Common Association (
www.ticassoc.org
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REITs
National Association of REITs (NAREIT) (
www.reit.com/
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NASAA REIT Guidelines (
www.nasaa.org/content/Files/REITS.pdf
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Real Estate Market Data
CB Richard Ellis (
www.cbre.com
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Marcus & Millichap (
www.marcusmillichap.com
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Cushman & Wakefield (
www.cushwake.com
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Equipment Leasing
NASAA Equipment Leasing Guidelines (
www.nasaa.org/content/Files/Equipment_Programs.pdf
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Commodity Pools/Managed Futures
NASAA Commodity Pool Guidelines (
www.nasaa.org/content/Files/Registration_of_Commodity_Pool_Programs.pdf
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Commodity Futures Trading Commission (
www.cftc.gov
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National Futures Association (
www.nfa.futures.org
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Center for International Securities and Derivatives Markets (
cisdm.som.umass.edu
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Barclay CTA Indices (
www.barclayhedge.com
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Oil and Gas Programs
Energy Information Administration (
www.eia.doe.gov/
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Natural Gas Weekly Update (
tonto.eia.doe.gov/oog/info/ngw/ngupdate.asp
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NASAA Oil and Gas Guidelines (
www.nasaa.org/content/Files/Oil_Gas.pdf
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Other Programs
Barclay Hedge Fund Indices (
www.barclayhedge.com
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Managed Funds Association (
www.managedfunds.org
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Hedge Fund Research (
www.hedgefundresearch.com
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Alternative Investment Management Association (
www.aima.org
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Other Interesting Links
The Wall Street Journal (
online.wsj.com
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Seeking Alpha (
seekingalpha.com
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Motley Fool (
www.fool.com
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MarketWatch (
www.marketwatch.com
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Investment News (
www.investmentnews.com
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Social Science Research Network (
www.ssrn.com
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Mark Astarita’s Securities Law Blog
(seclaw.blogspot.com
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Richard Wilson’s Hedge Fund Blog (
richard-wilson.blogspot.com
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Investopedia (
www.investopedia.com
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Chicago Board Option Exchange (
www.cboe.com
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