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SEC Delivers Report to Congress on Disclosure Simplification
  • Morrison & Foerster LLP
  • USA
  • November 28 2016

The FAST Act required the Securities and Exchange Commission to deliver to Congress a report detailing its recommendations regarding the modernization


SEC Division of Corporation Finance Update
  • Morrison & Foerster LLP
  • USA
  • November 18 2016

At the American Bar Association’s Fall Meeting, Keith Higgins, Director of the SEC’s Division of Corporation Finance (the “Division”), gave his last


Department of Labor Issues Initial Guidance on Fiduciary Rule
  • Morrison & Foerster LLP
  • USA
  • November 17 2016

In October 2016, the U.S. Department of Labor issued its first guidance, in the form of frequently asked questions, about its new fiduciary rules. In


Quick Guide to REIT IPOs
  • Morrison & Foerster LLP
  • USA
  • November 17 2016

Real Estate Investment Trusts ("REITs") are endlessly inventive. They were first developed in the 1960s as a means for ordinary retail investors to


Riskless Principal Transactions
  • Morrison & Foerster LLP
  • USA
  • November 17 2016

In connection with our examination of the Department of Labor's new fiduciary rules, and potential offerings conducted under the "BIC Exemption," we


Inside FINRA's "Cross-Selling Sweep"
  • Morrison & Foerster LLP
  • USA
  • November 17 2016

In response to recent highly-publicized scrutiny of bank cross-selling practices, FINRA announced in October 2016 that it is conducting a sweep of


ETN Issuers Affected by Proposed Changes to Nasdaq Listing Rules
  • Morrison & Foerster LLP
  • USA
  • November 17 2016

On September 30, 2016, Nasdaq submitted to the Securities and Exchange Commission a proposal to amend certain continued listing requirements for


Structured Products Legal and Regulatory Conference: November 2016
  • Morrison & Foerster LLP
  • USA
  • November 17 2016

In November 2016, Morrison & Foerster LLP sponsored Risk magazine's annual structured products legal and regulatory conference in Washington, D.C


Frequently asked questions about the Trust Indenture Act of 1939
  • Morrison & Foerster LLP
  • USA
  • November 10 2016

The Trust Indenture Act of 1939, as amended (the "Trust Indenture Act"), governs the offering


Frequently asked questions about Separation of research and investment banking
  • Morrison & Foerster LLP
  • USA
  • November 4 2016

What rules apply to the research department and its relationship with the investment banking department? The rules and regulations that apply to the