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Results: 1-10 of 783

House passes bill to ease Volcker Rule and other regulatory requirements

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • January 16 2015

The U.S. House of Representatives on January 14, 2015, voted (271-154) to pass H.R. 37, the "Promoting Job Creation and Reducing Small Business

House passes bill implementing JOBS Act changes (and Volcker Rule changes)

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • January 14 2015

Today, the House voted (271-154) to pass H.R. 37, titled “Promoting Job Creation and Reducing Small Business Burdens Act.” Among other things, the

OCIE publishes exam priorities for 2015

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • January 14 2015

The National Exam Program of the SEC's Office of Compliance Inspections and Examinations (OCIE) published its examination priorities for 2015 this

Federal Reserve Board and OCC issue interim final rule amending U.S. bank capital and other rules to account for global implementation of bank special resolution regimes

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

On December 16, 2014, the Office of the Comptroller of the Currency ("OCC") and the Board of Governors of the Federal Reserve System ("Board"

Heightened scrutiny of brokers SEC approves FINRA’s proposed background check rule

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • January 9 2015

In recent years, questions have been raised in many quarters about how brokers with questionable backgrounds have been able to move among firms and

FINRA issues a packed priorities letter for 2015

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • January 8 2015

FINRA opened 2015 with a lengthy and ambitious agenda of regulatory priorities. This year’s Regulatory and Examination Priorities Letter is much

FINRA regulatory and examinations priorities letter

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • January 7 2015

Earlier this week, FINRA published its annual priorities letter. Again, FINRA includes among the areas of concern private placements. FINRA cites

FSOC, at it again, places asset managers in its crosshairs

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • December 31 2014

In seeking comment on potential risks to the U.S. financial system created by asset managers, the Financial Stability Oversight Council (FSOC) again

2014 in IPOs

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • December 30 2014

According to Renaissance Capital, there were 273 IPOs that raised $85 billion of gross proceeds. The number of offerings in 2014 increased by nearly

SEC proposes amendments to registration requirements

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • December 30 2014

In December 2014, the SEC proposed amendments to revise the rules related to the thresholds for registration, termination of registration, and