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Results: 1-10 of 24

FINRA proposal requires disclosure of enhanced compensation

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • January 16 2013

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

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

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • 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

FINRA commences sweep request relating to conflicts of interest

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • August 14 2012

In recent years, FINRA has frequently expressed concerns about conflicts of interest in the financial services industry

Financial services report, Summer 2012

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • June 8 2012

New York Mayor Michael Bloomberg wants to ban sodas sold in containers of more than 16 ounces

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

Warning: I am coming after you!

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • December 6 2011

The CFPB outlined plans to provide advance notice of potential enforcement actions to individuals and firms under investigation

A little pruning

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • December 6 2011

The CFPB announced that it will ask the public to comment on which regulations it inherited from the other agencies should be updated, modified, or eliminated because they’re outdated, unduly burdensome or unnecessary

Be nice to each other

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • December 6 2011

The Government Accountability Office (the “GAO”) issued a study finding that financial regulators do not have formal protocols in place for interagency cooperation on Dodd-Frank rulemaking

Standing out in the crowd

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • December 6 2011

Pursuant to Section 113 of Dodd-Frank aimed at avoiding a repeat of the Lehman Brothers collapse in September 2008, the Federal Stability Oversight Council (“FSOC”) issued a proposed rule establishing a three-stage analysis for identifying non-bank systemically important financial institutions

Who is larger?

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

The Bureau of Consumer Financial Protection (“CFPB”) requested comment with respect to the CFPB’s authority to establish a supervisory program for non-banks covered by the Dodd-Frank Act

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