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Failure to follow compliance policies in connection with ETF sales leads to SEC sanctions
  • Morrison & Foerster LLP
  • USA
  • March 7 2017

A recent cease-and-desist order from the Securities and Exchange Commission illustrates the types of activity and compliance issue that should be


Inline XBRL Proposed Rule and IFRS Taxonomy
  • Morrison & Foerster LLP
  • USA
  • March 6 2017

On March 1, 2017, the Securities and Exchange Commission (the "Commission") proposed the use of the Inline XBRL (eXtensible Business Reporting


Exhibit Hyperlinks and HTML Format
  • Morrison & Foerster LLP
  • USA
  • March 2 2017

On March 1, 2017, the Securities and Exchange Commission (the “Commission”) adopted amendments that require that registrants that file registration


U.S. Securities-Based Crowdfunding
  • Morrison & Foerster LLP
  • USA
  • March 1 2017

Acting Chair Piwowar made remarks at the the Dialogue on Crowdfunding hosted by the Securities and Exchange Commission and the Salomon Center for the


SEC Speaks Acting Chair Piwowar’s Remarks
  • Morrison & Foerster LLP
  • USA
  • February 24 2017

At today’s Practising Law Institute SEC Speaks annual program, Acting Chair Piwowar made opening remarks. During his wide-ranging discussion, Acting


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


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 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


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