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

Morrison & Foerster LLP
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USA
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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

Federal Reserve Board approves final rules defining when significant nonbank firms are “predominantly engaged in financial activities”

Morrison & Foerster LLP
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USA
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April 4 2013

On April 3, the Federal Reserve Board ("Board") published a final rule ("Rule") specifying when a financial company that may be made subject to

OCC regulations impacting bank note offerings become effective

Morrison & Foerster LLP
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USA
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January 22 2013

On January 1, 2013, the new regulations of the Office of the Comptroller of the Currency (the "OCC") amending Part 16.6 of the OCC's securities

FINRA proposal requires disclosure of enhanced compensation

Morrison & Foerster LLP
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USA
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January 16 2013

Continuing ongoing efforts to address conflicts of interest in the financial services industry, FINRA requested comments on a Proposed Rule

FINRA provides early guidance about its exam priorities; firms should take notice

Morrison & Foerster LLP
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USA
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January 15 2013

In its annual summary of regulatory and examination priorities, the Financial Industry Regulatory Authority (FINRA) signaled that it will

Dodd-Frank implementation: navigating the road ahead

Morrison & Foerster LLP
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USA
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December 20 2012

Almost two-and-a-half years after the enactment of the Dodd-Frank Act, the various federal agencies charged with implementation have made measurable

Here Comes 2013

Morrison & Foerster LLP
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USA
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December 18 2012

The business and regulatory environment for structured products continues to evolve, sometimes in ways that surprise all of us

FINRA updates its suitability questions and answers

Morrison & Foerster LLP
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USA
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December 18 2012

On December 10, 2012, FINRA issued Regulatory Notice 12-55, in which FINRA expanded on its earlier suitability guidance, in Regulatory Notice 12-25, of the terms “customer” and “investment strategy”, as used in FINRA Rule 2111

SEC charges Oregon-based investment adviser for failing to disclose revenue-sharing payments

Morrison & Foerster LLP
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USA
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October 22 2012

On September 6, 2012, the SEC issued a settled administrative proceeding against two investment advisory firms, located in Portland Oregon, and their owner

IOSCO calls for more regulation of money market funds; majority of SEC commissioners object

Morrison & Foerster LLP
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USA
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October 16 2012

On October 9, 2012, the International Organization of Securities Commissions (“IOSCO”) released a final report calling for additional regulation of money market funds (“MMFs”), including options for a floating NAVs, NAV buffers and liquidity fees

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Search results

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

Federal Reserve Board approves final rules defining when significant nonbank firms are “predominantly engaged in financial activities”

OCC regulations impacting bank note offerings become effective

FINRA proposal requires disclosure of enhanced compensation

FINRA provides early guidance about its exam priorities; firms should take notice

Dodd-Frank implementation: navigating the road ahead

Here Comes 2013

FINRA updates its suitability questions and answers

SEC charges Oregon-based investment adviser for failing to disclose revenue-sharing payments

IOSCO calls for more regulation of money market funds; majority of SEC commissioners object

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