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Results: 1-10 of 14

“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

SEC and FINRA personnel speak at Structured Products conference

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • January 7 2014

In December 2013, Structured Products magazine hosted a regulatory and compliance conference in Washington, D.C. The panels included representatives

Michael Osnato named by SEC to lead the enforcement division’s Complex Financial Instruments Unit

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • January 7 2014

The SEC announced on January 6 that Michael J. Osnato, Jr. will lead the Complex Financial Instruments Unit. The unit is comprised of attorneys and

FINRA’s annual regulatory and examination priorities: structured products remain an area of focus

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • January 7 2014

On January 2, 2014, FINRA issued its annual regulatory and examination priorities letter

What to expect in 2014?

  • Morrison & Foerster LLP
  • -
  • European Union, USA
  • -
  • December 2 2013

Over the last few years, we all have become fairly adept at expecting and addressing the unexpected; however, it still remains useful at year-end to

SEC addresses potentially misleading fund names

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • December 2 2013

In recent years, the SEC's Division of Corporate Finance and Office of Capital Market Trends have addressed issues relating to potentially

Nasdaq quotation service to provide quotes

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • December 2 2013

The Nasdaq OMX Group Inc. recently announced that it will be launching a program pursuant to which it will disseminate pricing information on

“Big-Boy Letters” revisited: Pharos decision upheld by the Sixth Circuit

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • December 2 2013

In our December 18, 2012 issue of Structured Thoughts, we examined a district court case that addressed the effectiveness of "Big-Boy Letters" in

Launching an exempt structured products program in the United States: issues for non-U.S. banks to consider

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • December 2 2013

Non-U.S. banks that maintain a registered medium-term note program may wish to supplement that platform with an exempt bank note program for

Revised FINRA communications rules: a summary table for market participants

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • November 13 2012

As we approach the end of the year, and begin to plan for 2013, we remind readers that the effective date of FINRA’s new offering communications rules is February 4, 2013