We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
In cooperation with Association of Corporate Counsel
  Request new password

Search results

Order by most recent / most popular / relevance

Results: 1-10 of 26

FINRA shows its CARDS; it will use big data to review suitability of complex products sales

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • December 1 2014

FINRA recently proposed a rule to implement the Comprehensive Automated Risk Data System (CARDS), a proposal to formalize and regularize its efforts

Key regulators speak at structured products conference

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • December 1 2014

On November 12, 2014, Structured Products held its annual regulatory, compliance and legal conference in Washington, D.C. Conference attendees had

FINRA’s proposed bond mark-up disclosure rules and structured products

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • December 1 2014

In FINRA's November 2014 Regulatory Notice 14-52, FINRA proposed a new rule that would require broker-dealers to disclose additional information on

FINRA and the SEC focus on structured products and alternative funds at complex products industry forum

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • November 11 2014

In October 2014, in a speech at the SIFMA Complex Products Forum, Susan Axelrod, FINRA's Executive Vice President of Regulatory Operations, reported a

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

Referral fees and sharing commissions in structured note sales

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • November 11 2014

In September 2014, FINRA proposed rule changes addressing when broker-dealers may pay referral fees or share their compensation with parties other

FINRA speaks at 2014 Structured Retail Products conference

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

On June 26 and 27, Structured Retail Products hosted its annual industry conference in Boston. The remarks of two FINRA officials provide a useful

New York court endorses structured note risk factors in class action dismissal

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

In June 2014, the U.S. District Court for the Southern District of New York granted Credit Suisse's motion to dismiss a class action arising out of

FINRA approves amendments to communication rules relief from filing for certain FWPs

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

On July 11, 2014, FINRA announced the immediate effectiveness of its amendments to its communication rules. Among other items, the amendments relate

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