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Financial services committee hearing may provide insights

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • July 21 2014

This Thursday, July 24th, the Capital Markets and Government Sponsored Enterprises Subcommittee will hold a hearing with Keith Higgins, Director of

The hot IPO market continues

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • July 18 2014

The first half of 2014 has seen the hottest IPO market in 14 years - 133 IPOs priced, raising more than $30 billion in proceeds. This is already

Status updates - July 18, 2014

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • July 18 2014

The average millennial checks his or her smartphone 45 times a day and learns about news online primarily through Facebook and Twitter, according to

Commissioner Piwowar slams “Dodd-Frank Politburo” for overstepping authority

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • July 16 2014

In a speech on July 15, 2014, SEC Commissioner Michael S. Piwowar expressed his views about the Financial Stability Oversight Council (FSOC

SEC: the new cyber-cop

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • July 15 2014

It seems scarcely a week goes by without a headline blaring news of a major cybersecurity breach. And with ongoing revelations about the

PCAOB issues guidance to auditors of broker-dealers

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • July 14 2014

On June 24, 2014, the Public Company Accounting Oversight Board (PCAOB) released staff guidance to help auditors of brokers and dealers registered

FINRA announces and publishes its sweep of order routing practices

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • July 9 2014

FINRA announced this week that it is conducting a review of its member firms' order-routing processes and procedures and the execution quality of

FINRA sanctions a broker for violating Japanese insider trading law

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • July 9 2014

On July 2, 2014, FINRA announced that it barred a former equity trader from the securities industry based on its finding that he violated Japanese

JOBS Act quick start

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • July 9 2014

Many market participants were taken by surprise by the enactment of the Jumpstart Our Business Startups Act. The JOBS Act, HR 3606, was passed by

New Senate bill introduced to clarify definition of general solicitation

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

The text of S. 2498, introduced by Senator Murphy in late June, was finally released. The bill is titled the "HALOS Act", or "Helping Angels Lead our