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Structured thoughts: news for the financial services community

Morrison & Foerster LLP
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USA
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October 1 2012

On September 27, 2012, SIFMA hosted a conference on Complex Products

Impact of the JOBS Act on private structured product programs

Morrison & Foerster LLP
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USA
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April 11 2012

In April 2012, President Obama signed the “Jumpstart Our Business Startups Act” (the “JOBS Act”

Section 3(c)(7) exception under the 1940 Act

Morrison & Foerster LLP
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USA
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April 11 2012

Market participants that use special purpose trust vehicles organized outside of the United States to issue structured products often rely on the exception from the 1940 Act provided by Section 3(c)(7) for the trust

FINRA priorities

Morrison & Foerster LLP
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USA
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March 21 2012

FINRA’s annual letter to member firms regarding its 2012 regulatory and examination priorities included a number of issues relating to structured products

Legging-in and legging-out of an integrated transaction

Morrison & Foerster LLP
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USA
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February 2 2012

In the last edition of Tax Talk, our Classroom addressed integrating a debt instrument with a hedge into a synthetic debt instrument, where we reviewed the requirements in order to create a synthetic debt instrument under Section 1.1275-6.38

FINRA notice regarding complex products

Morrison & Foerster LLP
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USA
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January 19 2012

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

FINRA’s consent agreement: a continued focus on adequate supervisory systems and procedures in the sale of reverse convertible notes

Morrison & Foerster LLP
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USA
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January 19 2012

In December 2011, the Financial Industry Regulatory Authority (“FINRA”) announced that it had fined Wells Fargo Investments, LLC $2 million, and required the broker-dealer to pay restitution to investors

FINRA sweep letter on spread products

Morrison & Foerster LLP
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USA
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December 15 2011

In November 2011, FINRA sent out a sweep letter to FINRA members seeking information (including advertisements, sales and marketing materials, institutional sales materials, and educational materials) relating to spread-based structured products transactions

Conflict of interest rules

Morrison & Foerster LLP
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USA
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December 6 2011

On September 19, 2011, the SEC released a proposed rule (“Proposed Rule 127B”) implementing the conflicts of interest provisions of section 621 of Dodd-Frank which added a new section 27B to the Securities Act of 1933, as amended (the “Securities Act”

SEC proposes Dodd-Frank conflicts of interest rules

Morrison & Foerster LLP
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USA
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September 29 2011

On September 19, 2011, the Securities and Exchange Commission released a proposed rule (“Proposed Rule 127B”) implementing the conflicts of interest provisions of section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, which added a new section 27B to the Securities Act of 1933, as amended

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