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The SEC issues its long awaited sweep letter for ETN's

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

On February 11, 2014, the SEC's Division of Corporation Finance sent a "sweep" letter to exchange-traded note (ETN) issuers. The letter contains 14

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

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

On March 10, 2014, FINRA filed with the SEC proposed amendments to its communication rules. Among other items, the proposal relates to the filing

Comprehensive surveillance sharing agreements

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

From time to time, market participants need to consider whether a "comprehensive surveillance sharing agreement" is in effect between a U.S

Ketchum shares bon mots with BD industry at SIFMA meeting

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

At this week's Annual SIFMA Law and Compliance meeting, FINRA CEO Rick Ketchum provided a number of candid and pointed comments in a wide-ranging and

JOBS Act 2.0?

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

Having just marked the second anniversary of the JOBS Act, it seems that more regulatory change may be under consideration. We previously reported on

Cybersecurity in the regulatory cross-hairs

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

After announcing that cybersecurity is one of its 2014 examination priorities,FINRA wasted no time before announcing a sweep examination to assess

Broad reach of SEC’s conflict mineral rules affects many public companies in the consumer product industry

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

The Securities and Exchange Commission's conflict mineral rules adopted in August 2012 have been a topic of hot debate among not only manufacturing

Tidbits

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

On February 20, 2014, the SEC announced that Sharon Binger was appointed as director of the agency's Philadelphia Regional Office. Ms. Binger joined

FINRA continues to focus on suitability of complex, non-traditional ETFs

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

In mid-January, FINRA announced another settled disciplinary proceeding alleging unsuitable sales of levered and inverse exchange-traded funds (ETFs

Yelp for advisersSEC determines that some online client reviews are not prohibited client testimonials

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

The SEC's Division of Investment Management recently released a guidance update on the "testimonial rule" and the use of social media by investment