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May 16th: Title III Crowdfunding Effective Date
  • Morrison & Foerster LLP
  • USA
  • May 16 2016

In time for the effective date of Regulation Crowdfunding, FINRA has issued an Investor alert


Tax Talk - Volume 9, No. 1, May 2016
  • Morrison & Foerster LLP
  • USA
  • May 6 2016

On April 12th, the IRS published proposed regulations under Section 305(c) that address the treatment of deemed dividends to holders of stock and


Implications of the DOL Fiduciary Rule for Structured Products
  • Morrison & Foerster LLP
  • USA
  • May 4 2016

On April 6, 2016, the Department of Labor (“DOL”) issued its final conflict of interest regulations, which significantly expand who is considered a


SEC Approves Amendments to Implement FAST Act
  • Morrison & Foerster LLP
  • USA
  • May 3 2016

The SEC approved amendments to revise the rules related to the thresholds for registration, termination of registration, and suspension of reporting


Electronic Structured Product Systems and FINRA’s Robo-Advisor Report
  • Morrison & Foerster LLP
  • USA
  • May 2 2016

In a prior issue of this publication, we wrote about electronic structured note issuance platforms, and how these might be affected by U.S


OCC Discusses Responsible Financial Innovation
  • Morrison & Foerster LLP
  • USA
  • May 2 2016

In March 2016, the Office of the Comptroller of the Currency (“OCC”) released a White Paper on financial technology innovation. The White Paper sets


The SEC’s Regulation S-K Concept Release and Structured Notes
  • Morrison & Foerster LLP
  • USA
  • May 2 2016

In April 2016, the SEC’s Division of Corporation Finance issued a 341-page Concept Release relating to the disclosure requirements of Regulation S-K


New Executive Compensation Rule At-A-Glance
  • Morrison & Foerster LLP
  • USA
  • April 25 2016

On April 21, 2016, the National Credit Union Administration approved a proposed rule on incentive compensation under Section 956 of the Dodd-Frank


A Lofty Concept: Disclosure Effectiveness
  • Morrison & Foerster LLP
  • USA
  • April 18 2016

Even before the JOBS Act had been proposed, policymakers focused on the downturn in the number of initial public offerings (IPOs) speculated that the


House Financial Services Hearing on Capital Formation Bills
  • Morrison & Foerster LLP
  • USA
  • April 18 2016

On Thursday, April 14th, the House Financial Services Subcommittee on Capital Markets and GSEs held a hearing at 10 am titled, The JOBS Act at Four: