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FINRA sanctions member firm for failure to deliver ETF prospectuses

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

FINRA recently sanctioned a broker-dealer (the “Firm”) for failure to deliver prospectuses in connection with its sale of ETFs. FINRA also found that

SEC proposes amendments revising Section 12(g) thresholds as required by the JOBS Act

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

The SEC proposed rules for comment that address the JOBS Act mandate to revise the thresholds for registration, termination of registration, and

Financial services report winter 2014

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

The election is over, but we are still reeling from the aftermath of the November shock. We’re talking of course about North Korean Supreme Leader

Securities regulation legislation in the coming 114th Congress

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

If the current 113th Congress is any measure, we can expect the coming 114th Congress to introduce and promote bills seeking, among other matters, to

SEC and PCAOB combine their focusses on broker-dealer audits and independence in settlements with fifteen audit firms

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

On December 8, 2014, the Securities and Exchange Commission (SEC) and Public Company Accounting Oversight Board (PCAOB) announced settlements with

FINRA proposes changes to the equity research analyst and equity research report rule

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

On November 18, 2014, the Financial Industry Regulatory Authority, Inc. (“FINRA”) filed a proposed rule change with the Securities and Exchange

SEC to require living wills and stress-testing for investment advisers

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

In a speech on December 11, 2014, SEC Chair Mary Jo White announced three broad “proactive initiatives” to address the risks of “increasingly complex

Advisory Committee will consider accredited investor definition

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

The SEC announced that at the December 17th meeting of the Advisory Committee on Small and Emerging Companies, the group will focus on the definition

Investment management Director offers top 10 lessons learned in 2014

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

In a December 10, 2014 speech, Norm Champ, the Director of the SEC’s Division of Investment Management, offered a glimpse at the top 10 industry

Investment management legal regulatory update - December 2014

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

SEC Chair Mary Jo White recently offered a peek into new SEC rule proposals we can expect to see in the coming months. The sneak preview includes