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Results: 1-10 of 397

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

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

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

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

SEC sanctions fund trustees for inadequate disclosures and failure to follow compliance policies

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • May 2 2013

The Securities and Exchange Commission today charged the trustees of two "turnkey" mutual fund trusts with causing untrue or misleading disclosures

Update regarding TRACE Rule 144A securities

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

In April 2013, FINRA's Board of Governors approved a proposal to publicly disseminate 144A transactions in TRACE-eligible securities for those asset

FINRA’s Ketchum discusses structured products

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

On April 9, 2013, Richard Ketchum, Chairman and Chief Executive Officer of FINRA, delivered a speech regarding the National Compliance Outreach

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

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

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

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