We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
Lexology logo






  Request new password

Search results

Order by most recent / most popular / relevance

Results: 1-10 of 397

FINRA identifies concerns with marketing of real estate investment products

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • May 10 2013

FINRA recently signaled a continuing focus on the marketing of real estate-related products by issuing a Regulatory Notice expressing concerns about

DOJ turns FCPA spotlight on financial services sector as enforcement efforts in Latin America continue

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • May 15 2013

Last week, the U.S. Department of Justice (DOJ) announced the indictment of two employees of a U.S. broker-dealer, Direct Access Partners, and a

Section 3(a)(2) and offerings by banks

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • September 9 2010

Section 3(a)(2) of the Securities Act of 1933 (the "Securities Act") exempts from registration under the Securities Act any security issued or guaranteed by a bank

Reverse inquiry transactions in the spotlight

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • February 6 2013

"Reverse inquiry transactions" take a variety of forms. In the classic example of a reverse inquiry, a particular investor or its representative

Proprietary indices

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • January 20 2011

As the popularity of structured products linked to the performance of proprietary indices continues to grow, we receive more frequent questions regarding the legal and compliance issues arising in connection with these products

SEC discusses estimated value at Structured Products conference

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • May 15 2013

On May 2, 2013, Amy Starr, Chief of the SEC's Office of Capital Markets Trends, spoke by teleconference at Structured Products magazine's Americas

Due diligence procedures for structured note distributors

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • May 15 2013

Sections 11 and 12 are the main liability provisions under the Securities Act of 1933, as amended (the "Securities Act"). Section 11 covers

The Financial Stability Oversight Council’s 2013 annual report: increasing exchange-traded product activity

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • May 15 2013

In its 2013 Annual Report, the U.S. Financial Stability Oversight Council (the "FSOC") summarized, as part of its review of investment funds

Federal court decision supports use of “big-boy letters”

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • December 18 2012

“Big-Boy Letters” are often used as a tool to limit an issuer’s or broker-dealer’s potential liability in connection with a private sale of securities

FINRA issues guidance on backtested performance data

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • April 26 2013

Issuers of structured products that reference indices with limited histories often present in their offering documents hypothetical historical data

Current Search

Suggested Facets

Author

Jurisdiction

Workarea

© Copyright 2006-2013 Globe Business Publishing Ltd | Cookies | Disclaimer | Privacy policy