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Results: 1-10 of 390

It’s not crowdfunding!
  • Morrison & Foerster LLP
  • USA
  • July 13 2015

Since the Regulation A effective date last month, a number of websites have emerged that promote “Regulation A crowdfunding” contributing even


SEC Advisory Committee meeting
  • Morrison & Foerster LLP
  • USA
  • June 30 2015

The Securities and Exchange Commission Advisory Committee on Small and Emerging Companies will hold an open, public telephone meeting on Wednesday


SEC guidance on Regulation A
  • Morrison & Foerster LLP
  • USA
  • June 25 2015

The SEC has provided guidance to issuers on Regulation A offerings. You can access the SEC's Small Entity Compliance Guide here:


House holds hearings on bill to ease BDC restrictions
  • Morrison & Foerster LLP
  • USA
  • June 24 2015

The Subcommittee on Capital Markets and Government Sponsored Enterprises of the House Financial Services Committee heard testimony on June 16, 2015


SEC Division of Market Regulation request for comment discusses Exchange-Traded Products
  • Morrison & Foerster LLP
  • USA
  • June 23 2015

On June 12, 2015, the SEC issued a Request for Comment on Exchange-Traded Products (ETPs).The request addresses legal standards and other regulatory


FINRA’s revised Sanction Guidelines
  • Morrison & Foerster LLP
  • USA
  • June 23 2015

In May 2015, FINRA issued revisions to its Sanction Guidelines. In particular, the amended Sanction Guidelines encourage individual bars and firm


A uniform fiduciary duty standard and the structured products market
  • Morrison & Foerster LLP
  • USA
  • June 23 2015

Although most of the rulemakings required to be proposed and adopted pursuant to the Dodd-Frank Act have now been addressed by regulators, a


FINRA and CARDS
  • Morrison & Foerster LLP
  • USA
  • June 23 2015

As readers of this publication know, FINRA has proposed its Comprehensive Automated Risk Data System ("CARDS"). The system would require


The SEC, structured products, disclosure, and retail investors
  • Morrison & Foerster LLP
  • USA
  • June 23 2015

In May 2015, Amy Starr, the Chief of the SEC’s Office of Capital Markets Trends, spoke before an industry conference. She addressed a variety of


FINRA requests comments on proposed amendments to Rule 2210 and issues additional FAQs
  • Morrison & Foerster LLP
  • USA
  • June 23 2015

In May 2015, FINRA issued Regulatory Notices 15-16 and 15-17, both relating to Rule 2210, Communications with the Public. The notices are a result of