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The SEC and FINRA: protect your elders

Morrison & Foerster LLP
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USA
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May 15 2013

In April 2013, the SEC, in association with FINRA, held a Compliance Outreach Program for broker-dealers. The program included a panel that addressed

Due diligence procedures for structured note distributors

Morrison & Foerster LLP
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USA
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May 15 2013

Sections 11 and 12 are the main liability provisions under the Securities Act of 1933, as amended (the "Securities Act"). Section 11 covers

SEC discusses estimated value at Structured Products conference

Morrison & Foerster LLP
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USA
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May 15 2013

On May 2, 2013, Amy Starr, Chief of the SEC's Office of Capital Markets Trends, spoke by teleconference at Structured Products magazine's Americas

FINRA’s Ketchum discusses structured products

Morrison & Foerster LLP
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USA
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January 16 2013

In a speech today to the SIFMA Compliance and Legal Society, Richard Ketchum, Chairman and Chief Executive Officer of FINRA, discussed the annual

FINRA issues Q&A guidance on new communications rules

Morrison & Foerster LLP
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USA
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January 16 2013

FINRA's new offering communication rule, FINRA Rule 2210, will become effective on February 4, 2013. Rule 2210 will, among other things, restructure

FINRA to continue its focus on structured products

Morrison & Foerster LLP
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USA
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January 16 2013

FINRA's annual letter to member firms regarding its 2013 examination priorities contains a number of items relating to structured products. The

Dodd-Frank implementation: navigating the road ahead

Morrison & Foerster LLP
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USA
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December 20 2012

Almost two-and-a-half years after the enactment of the Dodd-Frank Act, the various federal agencies charged with implementation have made measurable

Here Comes 2013

Morrison & Foerster LLP
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USA
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December 18 2012

The business and regulatory environment for structured products continues to evolve, sometimes in ways that surprise all of us

The CFTC's interpretive letters regarding securitizations, REITs and the definition of "commodity pool"

Morrison & Foerster LLP
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USA
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October 31 2012

In two interpretive letters issued on October 11, 2012 (collectively, the “Interpretive Letters”), the Division of Swap Dealers and Intermediary Oversight (the “Division”) of the Commodity Futures Trading Commission (the “CFTC”) gave guidance as to which securitization vehicles (each hereinafter, an “SV”) and which real estate investment trusts (each hereinafter, a “REIT”) may enter into swaps and yet fall outside of the definition of “commodity pool” under the Commodity Exchange Act (the “CEA”) as amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”