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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

The 1996 Morgan Stanley letter: re-imagined at the age of 18

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • June 25 2014

The "Morgan Stanley" letter provides the securities law disclosure guidance for most issuances of equity-linked registered structured notes in the U

Structured CDs goodbye Regulation DD, hello Regulation DD

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • June 25 2014

Issuing banks are required to make certain disclosures with regard to all CDs that are offered to consumers, including structured CDs. Regulation DD

“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