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Results: 1-8 of 8

OCC regulations impacting bank note offerings become effective

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • 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’s new guidance relating to suitability potential impact on structured products

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • May 30 2012

On May 21, 2012, FINRA issued Regulatory Notice 12-25, in which FINRA provided additional guidance on its new suitability rule, FINRA Rule 2111

FINRA’s consent agreements target supervisory systems and procedures in the sale of non-traditional ETFs

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • May 30 2012

On May 1, 2012, the Financial Industry Regulatory Authority, Inc. (“FINRA”) announced that it had fined four major investment banks for a total of more than $9.1 million dollars for the sale of leveraged and inverse exchange-traded funds (“Non-Traditional ETFs) without reasonable supervision and for not having a reasonable basis for recommending the sales

Watch the CDS spreads

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • October 5 2011

In recent months, CDS spreads for financial institutions, including those for U.S. banks, have widened

FINRA warns investors about chasing returns in structured products and other investments

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • July 27 2011

On July 25, 2011, FINRA issued an investor alert that warns investors about the risks of investing in riskier and sometimes complex products that promise higher returns

Summary of key issues from recent FINRA fines

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • June 2 2011

FINRA's April 2011 announcements of its actions against two broker-dealers1 received substantial attention in the structured products industry

FINRA issues new guidance regarding content, approval and filing requirements for free writing prospectuses

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • October 26 2010

As part of its recent efforts to ensure greater oversight and accuracy with respect to member firms’ communications with retail investors, FINRA released Regulatory Notice 10-52 in October 2010

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

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