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Results: 1-10 of 11

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

Investment funds and structured products

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • August 12 2014

Among other things, he emphasized that the SEC staff is concerned about misleading fund names and the adequacy of disclosures about use of

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

“Structured products, meet the Volcker Rule”: the new limitations on proprietary trading

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

As readers of this publication know, the long-anticipated final Volcker Rule has been issued. The rule generally prohibits, among other

EITF and the Federal Funds rate

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • February 28 2013

In a January 2013 meeting, FASB's Emerging Issues Task Force (the "EITF") voted in favor of adding the Federal Funds rate as a benchmark rate under

FINRA notice regarding complex products

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • January 19 2012

FINRA recently released Regulatory Notice 12-03 titled “Complex Products: Heightened Supervision of Complex Products.”

Taxation of financial instruments

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • December 15 2011

On December 7, 2011, the House Ways and Means Committee and the Senate Finance Committee held a joint hearing on the taxation of financial instruments

ISDASIFMA challenge position limits

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • December 15 2011

On December 2, 2011, ISDA and SIFMA jointly filed a lawsuit in the U.S. District Court for the District of Columbia against the CFTC and a petition for review in the U.S. Court of Appeals for the District of Columbia challenging the position limit rules

Securities and Exchange Commission tackles fund use of derivatives

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • October 5 2011

On August 31, 2011, the Securities and Exchange Commission published a Concept Release and requested comments on issues concerning the use of derivatives by investment companies, including mutual funds, closed-end funds, exchange-traded funds and business development companies

RIC commodity ruling update

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • August 2 2011

We learned last week that the Internal Revenue Service (“IRS”) has imposed an informal moratorium on private letter rulings for regulated investment companies (“RICs”) that invest in commodities through foreign subsidiaries or structured notes, presumably because the government is reconsidering the tax issues involved