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Results: 1-10 of 104

SEC proposes new credit rating disclosure requirements for issuers

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • October 12 2009

On September 17, 2009, the SEC continued its rule-making activity relating to rating agencies and credit ratings by voting to propose a number of new rules and to solicit additional comments on its prior proposals

Reverse convertibles

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • October 26 2010

FINRA recently announced that it had fined Ferris, Baker Watts LLC for inadequate supervision of sales of reverse convertible notes to retail customers

FINRA issues notice to members re securities linked to commodity futures

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • October 26 2010

As part of FINRA's continuing focus on member firms' communications with retail investors about more complex structured products and structures, it recently released regulatory notice 10-512 reminding firms of their sales practice obligations for commodity futures-linked securities

FINRA issues new guidance regarding content, approval and filing requirements for free writing prospectuses

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • October 26 2010

As part of its recent efforts to ensure greater oversight and accuracy with respect to member firms’ communications with retail investors, FINRA released Regulatory Notice 10-52 in October 2010

Repackagings

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • February 22 2011

We are often asked to consider whether "bundling" certificates of deposit (CDs) and offering interests in these CDs would be considered a new instrument and whether the FDIC insurance would still be passed along to investors purchasing the interests

Fiduciary duty: an update

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • February 22 2011

The Dodd-Frank Act implemented a number of investor protection provisions that affect broker-dealers

FINRA Rule 5122 revisions may affect certain structured products

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • February 22 2011

On January 11, 2011, the Financial Industry Regulatory Authority ("FINRA") issued Regulatory Notice 11-04 (the "Notice") proposing to expand FINRA Rule 5122 to govern all private placements in which a member firm participates - not just those in which the member firm (or its control entity) is the issuer - while retaining all but one of the existing exemptions, including those for offerings sold solely to certain institutions, qualified purchasers and other sophisticated investors

A summary of FWP filing requirements under SEC and FINRArules

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • December 14 2010

In October 2010, FINRA released its Regulatory Notice 10-52. Notice 10-52, among other things, applies FINRA’s filing and related requirements set forth in NASD Rule 2210 to broadly disseminated FWPs used by broker-dealers

SEC proposes to extend effectiveness of Rule 206(3)-3t

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • December 14 2010

In December 2010, the SEC proposed to extend the sunset provision of Rule 206(3)-3T.1

FINRA provides a reverse convertibles reminder

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • February 17 2010

In response to controversial sales practices relating to reverse exchangeable securities ("reverse convertibles"), FINRA recently issued two documents a Regulatory Notice and an Investor Alert on reverse convertibles

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