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Results: 1-10 of 612

Talk Talk - Volume 10, No. 1 May 2017
  • Morrison & Foerster LLP
  • USA
  • May 8 2017

On April 26, 2017, amidst much anticipation, the Trump administration released its tax plan, entitled “2017 Tax Reform for Economic Growth and


FINRA Observes Second Anniversary of Its Senior Helpline
  • Morrison & Foerster LLP
  • USA
  • May 1 2017

On April 21, 2017, FINRA issued a press release marking the second anniversary of its Securities Helpline for Seniors. The press release may be found


FINRA Revises Its Sanction Guidelines
  • Morrison & Foerster LLP
  • USA
  • May 1 2017

In April 2017, FINRA announced that it had revised its sanction guidelines for violations of its rules. The new revisions, among other things:


FINRA’s Proposed Amendments to the Corporate Financing Rules - Impact on Structured Notes
  • Morrison & Foerster LLP
  • USA
  • May 1 2017

In April 2017, FINRA released a set of significant proposed amendments to its Rule 5110, known as the "Corporate Financing Rule." FINRA's regulatory


Massachusetts Secretary of State Challenges Sales of Structured CDs and Other Complex Products
  • Morrison & Foerster LLP
  • USA
  • May 1 2017

A March 2017 consent order between the Massachusetts Securities Division and a broker-dealer serves as a useful reminder of sales practices that are


Committee Recommendations for U.S. Public Equity Markets
  • Morrison & Foerster LLP
  • USA
  • April 24 2017

The Committee on Capital Markets Regulation released a report setting forth certain recommendations that are intended to revive the public equity


News round up - March 2017
  • Morrison & Foerster LLP
  • USA
  • April 18 2017

Renaissance Capital reported a strong start to the year in its U.S. IPO Market 1Q 2017 Quarterly Review. The first quarter of 2017 saw 25 IPOs, which


A Trio of FINRA Notices Focused on Capital Formation Issues
  • Morrison & Foerster LLP
  • USA
  • April 17 2017

On April 12, 2017, FINRA released three regulatory notices for comment that propose amendments to various FINRA rules affecting capital formation. In


FINRA Proposes Changes to Rules Affecting Offerings
  • Morrison & Foerster LLP
  • USA
  • April 12 2017

Today, FINRA issued three Regulatory Notices requesting comments on proposed changes to various rules relating to financing transactions. Regulatory


SEC Government-Business Forum Report
  • Morrison & Foerster LLP
  • USA
  • April 11 2017

The final report from the forum held in November 2016 was recently published. The recommendations of the forum often provide the Securities and