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Results: 1-10 of 342

OCC updates Retail Non-Deposit Investment Product guidance in Comptroller’s Handbook

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • January 26 2015

On January 14, 2015, the Office of the Comptroller of the Currency (OCC) updated the booklet in its Comptroller's Handbook related to Retail

TLAC and structured notes

  • Morrison & Foerster LLP
  • -
  • European Union, USA
  • -
  • January 26 2015

Financial institution issuers of structured products probably are all too aware of the heightened regulatory capital requirements and new

OCIE exam priorities: 2015

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • January 26 2015

In January 2015, the National Exam Program of the SEC's Office of Compliance Inspections and Examinations (the "OCIE") published its examination

FINRA releases 2015 regulatory and exam priorities letter: structured products remain an area of focus

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • January 26 2015

On January 6, 2015, FINRA issued its annual regulatory and examination priorities letter. As in the past few years, structured products will remain

In re: TVIX securities litigationSecond Circuit affirms lower court decision

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • January 26 2015

In December 2014, the U.S. Court of Appeals for the Second Circuit affirmed the district court’s decision (our recent article regarding the district

House passes bill implementing JOBS Act changes (and Volcker Rule changes)

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • January 14 2015

Today, the House voted (271-154) to pass H.R. 37, titled “Promoting Job Creation and Reducing Small Business Burdens Act.” Among other things, the

FINRA regulatory and examinations priorities letter

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • January 7 2015

Earlier this week, FINRA published its annual priorities letter. Again, FINRA includes among the areas of concern private placements. FINRA cites

Structured product offerings and RIAs

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • December 23 2014

Registered investment advisors (RIAs) have emerged as a significant sales channel for many distributors of structured products. RIAs advise investors

What to expect in 2015?

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • December 23 2014

Here are our thoughts on what to expect in the structured products area in 2015. Dodd-Frank-Related Developments The Volcker Rule: Last year at about

FINRA issues report relating to its communication rules

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • December 23 2014

FINRA's communications rules affect the content, required approvals and potential filings of broker-dealer communications relating to structured