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Results: 1-10 of 275

The SEC issues its long awaited sweep letter for ETN's

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • April 9 2014

On February 11, 2014, the SEC's Division of Corporation Finance sent a "sweep" letter to exchange-traded note (ETN) issuers. The letter contains 14

FINRA proposes amendments to communication rules relief from filing for certain FWPs

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • April 9 2014

On March 10, 2014, FINRA filed with the SEC proposed amendments to its communication rules. Among other items, the proposal relates to the filing

Comprehensive surveillance sharing agreements

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • April 9 2014

From time to time, market participants need to consider whether a "comprehensive surveillance sharing agreement" is in effect between a U.S

JOBS Act 2.0?

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • April 7 2014

Having just marked the second anniversary of the JOBS Act, it seems that more regulatory change may be under consideration. We previously reported on

JOBS Act: from A to D

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • March 25 2014

Today is the end of the comment period on the SEC's proposing release concerning Regulation A. A number of comment letters already have been filed

Fed Governor addresses crowdfunding

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • March 25 2014

Governor Jeremy C. Stein spoke at the Crowdfunding for Community Development Finance Conference today (see remarks at:

JOBS Act related bills move forward

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • March 18 2014

At the end of last week, the House Financial Services Committee approved two bills, H.R. 3623 and H.R. 4164. H.R. 3623, titled the Improving Access

Limited corporate financing brokers

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • February 27 2014

FINRA published Regulatory Notice 14-09 (available: to

What’s next for the Commission?

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • February 26 2014

At a recent program, S.E.C. Speaks, Chair White noted that the Commission continues to move forward to complete rulemakings required under the JOBS

Tick size

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • February 10 2014

The Small Cap Liquidity Reform Act (H.R. 3448) is scheduled for a vote on February 11th. The bill (which was approved by the House Financial Services