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Results: 1-10 of 38

SEC issues investor bulletin relating to structured notes

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • March 12 2015

In January 2015, the SEC's Office of Investor Education and Advocacy issued an investor bulletin relating to structured notes. The alert may be found

Northern bound: Canadian regulators adopt certain U.S. regulatory principles

  • Morrison & Foerster LLP
  • -
  • Canada, USA
  • -
  • March 12 2015

In January 2015, the Staff of the Canadian Securities Administrators (the “CSAs”) issued notice 44-305, “Structured Notes Distributed Under the Shelf

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

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

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

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

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

SEC extends temporary rule for adviser principal trades

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

The SEC has extended by two years its temporary rule that provides an alternative means for registered investment advisers that are also registered