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Results: 1-10 of 746

SEC Small Business Forum

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

The SEC has announced that the day prior to its Government Business Forum on Small Business Capital Formation, it will host jointly with the Small

SEC Commissioners on capital formation

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

Recently, various SEC Commissioners, including Commissioner Stein and Commissioner Gallagher, have addressed issues related to capital formation in

The results are in: investors favor additional regulatory protection

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

On November 6, 2014, FINRA released results from a survey of U.S. investors measuring the demand for additional regulatory protections. The survey

SEC’s Champ: staff to focus on alt fund risk disclosures

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

The Division of Investment Management again has turned its attention to alternative mutual funds, this time ensuring that they adequately disclose

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

SEC gives the nod to exchange-traded mutual funds

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

Barely two weeks after it signaled thumbs-down on two requests to approve non-transparent exchange-traded funds (ETFs), the SEC on November 6, 2014

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

Mind the GAAPuse of non-GAAP measures in IPOs

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • November 6 2014

A new report released last week by PwC US analyzed the use of non-GAAP measures (NGMs) in IPOs and found that nearly 60 of the IPOs surveyed

Believe it or not? In Omnicare, the Supreme Court considers the standard of liability for statements of opinion

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • November 4 2014

Americans take as given the right to hold and express opinions. So it may come as a surprise to many that the federal securities laws impose civil