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Results: 1-10 of 321

SEC Small Business Forum

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • November 16 2014

The SEC has announced that the day prior to its Government Business Forum on Small Business Capital Formation, it will host jointly with the Small

SEC Commissioners on capital formation

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • November 16 2014

Recently, various SEC Commissioners, including Commissioner Stein and Commissioner Gallagher, have addressed issues related to capital formation in

FINRA and the SEC focus on structured products and alternative funds at complex products industry forum

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • November 11 2014

In October 2014, in a speech at the SIFMA Complex Products Forum, Susan Axelrod, FINRA's Executive Vice President of Regulatory Operations, reported a

Index changes and successor indices: avoiding delisting from the NYSE Arca

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • November 11 2014

Down deep, somewhere in the boilerplate in the back of a prospectus for an index-linked note, you can find the provisions for index adjustments and

Referral fees and sharing commissions in structured note sales

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • November 11 2014

In September 2014, FINRA proposed rule changes addressing when broker-dealers may pay referral fees or share their compensation with parties other

Tax talk - volume 7, no.3, November 2014

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

We held up this issue of Tax Talk in hopes the November 4 U.S. midterm elections would clear up the political fog surrounding tax policy in

SEC Small Business Capital Formation Forum

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • October 17 2014

The SEC recently announced that the annual Government-Business Forum on Small Business Capital Formation will be held on November 20th at the SEC in

New C&DI published on intrastate exemption

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

Last week, the SEC Staff posted the following C&DI relating to Rule 147 compliance when an issuer uses its own website in connection with a securities

Reg A debate continues

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • September 29 2014

The debate regarding state preemption for Tier 2 Regulation A offerings appears to continue. Late last week, a group of Congressmen sent a letter to

New data on Rule 506 offerings

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • September 29 2014

Crowdnetic, a provider of technology and market data solutions to the global crowdfinance marketplace, has shared with us for publication data