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Further setback for the CFPB director’s authority?

Morrison & Foerster LLP
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USA
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May 17 2013

A split panel of the U.S. Court of Appeals for the Third Circuit issued a decision yesterday holding that a "recess" appointment to the National

FINRA focuses on anti-money laundering procedures and red flags

Morrison & Foerster LLP
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USA
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May 16 2013

Last week, the Financial Industry Regulatory Authority (FINRA) publicized penalties against three companies - as well as four associated individuals

SEC discusses estimated value at Structured Products conference

Morrison & Foerster LLP
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USA
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May 15 2013

On May 2, 2013, Amy Starr, Chief of the SEC's Office of Capital Markets Trends, spoke by teleconference at Structured Products magazine's Americas

Due diligence procedures for structured note distributors

Morrison & Foerster LLP
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USA
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May 15 2013

Sections 11 and 12 are the main liability provisions under the Securities Act of 1933, as amended (the "Securities Act"). Section 11 covers

Key issues for Yankee CDs

Morrison & Foerster LLP
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USA
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May 15 2013

Yankee CDs are certificates of deposit issued by U.S. branches of non-U.S. banks. Some Yankee CDs are issued by a federally licensed branch that is

Jury buys plaintiff’s argument that drug manufacturer should have distributed dear doctor letter sooner, without prior FDA approval

Morrison & Foerster LLP
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USA
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May 15 2013

Dear Doctor letters were front and center in the just-tried case of Tietz v. Abbott Laboratories, Inc., et al., No. 12-L-002715. On Thursday, May 9

The Financial Stability Oversight Council’s 2013 annual report: increasing exchange-traded product activity

Morrison & Foerster LLP
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USA
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May 15 2013

In its 2013 Annual Report, the U.S. Financial Stability Oversight Council (the "FSOC") summarized, as part of its review of investment funds

The SEC and FINRA: protect your elders

Morrison & Foerster LLP
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USA
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May 15 2013

In April 2013, the SEC, in association with FINRA, held a Compliance Outreach Program for broker-dealers. The program included a panel that addressed

DOJ turns FCPA spotlight on financial services sector as enforcement efforts in Latin America continue

Morrison & Foerster LLP
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USA
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May 15 2013

Last week, the U.S. Department of Justice (DOJ) announced the indictment of two employees of a U.S. broker-dealer, Direct Access Partners, and a

Bowman v. Monsanto: crisis averted on IP protection for self-replicating technologies

Morrison & Foerster LLP
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USA
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May 14 2013

Life science companies in general (and seed companies in particular) are breathing a sigh of relief following the Supreme Court's decision yesterday

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Search results

Further setback for the CFPB director’s authority?

FINRA focuses on anti-money laundering procedures and red flags

SEC discusses estimated value at Structured Products conference

Due diligence procedures for structured note distributors

Key issues for Yankee CDs

Jury buys plaintiff’s argument that drug manufacturer should have distributed dear doctor letter sooner, without prior FDA approval

The Financial Stability Oversight Council’s 2013 annual report: increasing exchange-traded product activity

The SEC and FINRA: protect your elders

DOJ turns FCPA spotlight on financial services sector as enforcement efforts in Latin America continue

Bowman v. Monsanto: crisis averted on IP protection for self-replicating technologies

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