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Failure to Follow Compliance Policies in Connection with ETF Sales Leads to SEC Sanctions
  • Morrison & Foerster LLP
  • USA
  • February 23 2017

A recent cease-and-desist order from the Securities and Exchange Commission (SEC) illustrates the types of activities and compliance issues that


Broad-Based vs. Narrow-Based Indices
  • Morrison & Foerster LLP
  • USA
  • February 23 2017

What criteria render an index "broad-based" or "narrow-based"? Depending who you ask, you're likely to receive a wide range of response. This is


FINRA Advertising and Structured Products: The Current State of Play
  • Morrison & Foerster LLP
  • USA
  • February 23 2017

On January 24, 2017, at the Structured Product Association's Annual Legal, Regulatory & Compliance Update, Amy Sochard, senior director of FINRA's


FINRA Proposes Amendments to Communication Rules to Permit Projected Performance of an Investment Strategy
  • Morrison & Foerster LLP
  • USA
  • February 23 2017

FINRA continues its retrospective review of its communications rules.1 In February 2017, FINRA announced it is seeking comments on proposed


Identifying Conflicts of Interest in Structured Products Offerings
  • Morrison & Foerster LLP
  • USA
  • February 23 2017

With FINRA and other regulators focused on conflicts of interest in the broker-dealer industry, market participants are working diligently to identify


Court of appeals upholds SEC's backtesting finding
  • Morrison & Foerster LLP
  • USA
  • February 14 2017

In a recent case, a former investment adviser lost a petition to review and vacate a Securities and Exchange Commission (SEC) administrative law


Tax Talk - Volume 9, No. 4 February 2017
  • Morrison & Foerster LLP
  • OECD, United Kingdom, USA
  • February 13 2017

In case you haven't heard, Donald Trump is now president of the United States. Republicans now control the House, Senate, and Presidency. With this


Mutual Funds As Venture Capitalists? Evidence from Unicorns
  • Morrison & Foerster LLP
  • USA
  • February 13 2017

In a recent paper, authors Sergey Chernenko, Josh Lerner, and Yao Zeng consider investments by mutual funds (“cross over funds”) in 99 unicorn


Updated Market Statistics
  • Morrison & Foerster LLP
  • USA
  • February 8 2017

At the 35th Annual Federal Securities Institute, a representative of the Securities and Exchange Commission shared some market data. From its


Disclosure of Payments by Resource Extraction Issuers
  • Morrison & Foerster LLP
  • USA
  • January 31 2017

Likely, this is only the beginning. Senator Inhofe and Representative Huizenga filed Congressional Review Act Resolution relating to the Securities