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Coming soon: regulations for uniform fiduciary standard

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • March 27 2015

In testimony before the House Committee on Financial Services on March 24, 2015, SEC Chair Mary Jo White said that she supports a uniform fiduciary

FINRA, SEC provide broker-dealers with motivation, tools to get the job done

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • March 26 2015

Both the U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) have recently issued guidance to

The CFPB and FTC agree to continue to coordinate

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • March 26 2015

In March 2015, the Consumer Financial Protection Bureau (CFPB) and Federal Trade Commission (FTC) reauthorized their 2012 Memorandum of Understanding

Regulation A: final rules offer important capital raising alternatives

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • March 26 2015

Yesterday, March 25, 2015, the Securities and Exchange Commission voted unanimously to adopt final rules to implement the rulemaking mandate of Title

A-okay, Regulation A

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • March 25 2015

This is a very brief, initial summary. We will be reporting on the final rule in an upcoming alert. The SEC’s proposed rules already had provided a

Context, reasons, hedges, and disclaimers: the Supreme Court's ruling in Omnicare may shape whether and how companies express opinions

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • March 25 2015

The Supreme Court’s decision yesterday in Omnicare Inc. v. The Laborers District Council Construction Industry Pension Fund, No. 13-435 (U.S. March

Chair White’s testimony on SEC initiatives

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • March 24 2015

In testimony today, Chair White provided a brief update on various rulemaking initiatives. She noted that, in connection with the Dodd-Frank Act

A or not?

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • March 23 2015

The SEC has scheduled an open meeting for this Wednesday to consider whether to adopt rules and forms related to the offer and sale of securities

On the hill this week.

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • March 23 2015

On March 24th, the U.S. Senate Committee on Banking, Housing and Urban Affairs Subcommittee on Securities, Insurance and Investment will hold a

SEC issues investor bulletin relating to structured notes

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • March 12 2015

In January 2015, the SEC's Office of Investor Education and Advocacy issued an investor bulletin relating to structured notes. The alert may be found