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Congressmen Question IPO Fees
  • Morrison & Foerster LLP
  • USA
  • July 18 2016

Congressman Himes (CT) and eight other members of Congress wrote to FINRA and to the Securities and Exchange Commission questioning the typical 7


IPO Market Update
  • Morrison & Foerster LLP
  • USA
  • July 18 2016

During the second quarter 2016, the IPO market improved with 34 IPOs raising approximately $5.5 billion, according to Renaissance Capital. While


Investor Advocate Priorities
  • Morrison & Foerster LLP
  • USA
  • July 13 2016

Recently, the SEC’s Investor Advocate released a report regarding the Office’s areas of focus for fiscal year 2017. The report notes that the Office


Disclosure Effectiveness Initiative Continues to Move Forward
  • Morrison & Foerster LLP
  • USA
  • July 13 2016

Today, the Commission proposed for comment amendments that are intended to eliminate redundant, overlapping, outdated or superseded disclosure


SEC Announces New Investor Advisory Committee Members
  • Morrison & Foerster LLP
  • USA
  • July 12 2016

The SEC announced the appointment of three new members to the Investor Advisory Committee. The Committee will hold its next meeting, which is open to


Federal Reserve Officially Extends Volcker Rule Conformance Period with Respect to “Legacy Covered Funds” to July 21, 2017
  • Morrison & Foerster LLP
  • USA
  • July 8 2016

The Board of Governors of the Federal Reserve System (“Federal Reserve”), consistent with its previously announced intention, extended the


FINRA’s Remarks at the Complex Products Forum: Evaluating Contingencies
  • Morrison & Foerster LLP
  • USA
  • July 6 2016

On June 16, 2016, Thomas Selman, FINRA’s Executive Vice President, Regulatory Policy, delivered a speech at SIFMA’s annual Complex Product Forum in


Cover Page Disclosures for Structured Notes
  • Morrison & Foerster LLP
  • USA
  • July 6 2016

One pricing supplement expressed this structure with 1,133 words on the cover page. The other, did so with only 424 words. Industry participants


Financing Subsidiaries and SEC Registration
  • Morrison & Foerster LLP
  • USA
  • July 6 2016

As readers of this publication know, in order to address the expected new U.S. regulatory capital requirements, a number of U.S. bank holding


Investor Advisory Committee Recommends Proposals to the SEC to Enhance Information for Bond Market Investors
  • Morrison & Foerster LLP
  • USA
  • July 6 2016

On June 7, 2016, the SEC’s Investor Advisory Committee (the “Committee”) provided recommendations (the “Recommendations”) regarding certain proposals