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Results: 1-10 of 721

SEC Commissioner weighs in on regulatory process and capital formation

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • September 19 2014

SEC Commissioner Daniel Gallagher urged the commission on Wednesday to fulfill its mandate to promote capital formation. The SEC should

Promoting job creation bill

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • September 17 2014

The House of Representatives voted 320 to 102 to pass H.R. 5405 (Promoting Job Creation and Reducing Small Business Burdens Act) that contains a

SEC charges issuers, corporate insiders, and other significant investors for violating laws requiring reporting of transactions in company stock

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • September 17 2014

On September 10, 2014, the U.S. Securities and Exchange Commission announced settlements with officers, directors, and significant shareholders for

SEC and SBA to host small business events on JOBS Act capital-raising

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

Today, the SEC and SBA announced they will jointly host events to inform small business owners and entrepreneurs about new options that are and will

Weeding out bad actors: the Rule 506 bad actor provisions and capital markets practice - one year later

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

As we approach the anniversary of the effectiveness of the Rule 506 bad actor provisions (if you don't happen to have it marked on your calendar, the

Investment management legal regulatory updateSeptember 2014

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

On July 28, 2014, a divided SEC adopted rules that will require floating net asset values (NAVs) for institutional money market funds and give most

Kind-a-sort-a

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

In the last few days, we received a few inquiries regarding our prior post on the CFTC's temporary relief permitting funds to engage in general

PCAOB again finds broker-dealer audit deficiencies. Observation: experience is the best indicator for choosing an audit firm

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • September 10 2014

For the third year in a row, the Public Company Accounting Oversight Board (PCAOB) has found shortcomings in the audits of broker-dealers, a trend

Financial services report, fall 2014

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

The Federal Reserve Board issued a notice of proposed rulemaking that would amend the capital plan and stress test rules to modify the start date of

Ninth Circuit Brookstreet decision upholds control person liability

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • September 8 2014

The Ninth Circuit recently found the principal of a broker-dealer liable for the extensive and aggravated sales practice violations of the firm's