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Results: 1-10 of 57

Inside FINRA's "Cross-Selling Sweep"
  • Morrison & Foerster LLP
  • USA
  • November 17 2016

In response to recent highly-publicized scrutiny of bank cross-selling practices, FINRA announced in October 2016 that it is conducting a sweep of


ETN Issuers Affected by Proposed Changes to Nasdaq Listing Rules
  • Morrison & Foerster LLP
  • USA
  • November 17 2016

On September 30, 2016, Nasdaq submitted to the Securities and Exchange Commission a proposal to amend certain continued listing requirements for


Structured Products Legal and Regulatory Conference: November 2016
  • Morrison & Foerster LLP
  • USA
  • November 17 2016

In November 2016, Morrison & Foerster LLP sponsored Risk magazine's annual structured products legal and regulatory conference in Washington, D.C


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


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


U.S. Regulatory Developments: What to Expect in 2016
  • Morrison & Foerster LLP
  • USA
  • December 14 2015

As we make our annual prognostications, there is less visibility than in years past regarding many regulatory and enforcement matters. The majority


The SEC’s ETN Investor Bulletin
  • Morrison & Foerster LLP
  • USA
  • December 14 2015

On December 1, 2015, the SEC's Office of Investor Education and Advocacy issued an investor bulletin to educate investors about exchange-traded notes


SEC Approves Amendments to FINRA Rule 2210 to Require a BrokerCheck Link on Members’ Retail Websites
  • Morrison & Foerster LLP
  • USA
  • December 14 2015

New amendments to FINRA Rule 2210 that will require member firms' retail websites to include a readily apparent reference and hyperlink to


FINRA initiates sweep relating to compensation practices
  • Morrison & Foerster LLP
  • USA
  • August 31 2015

In August 2015, FINRA sent to members a "sweep letter" requesting a broad range of information as to their broker compensation practices and


IRS releases notices designating certain “basket contracts” as listed transactions and others as reportable transactions of interest
  • Morrison & Foerster LLP
  • USA
  • August 31 2015

In July 2015, the IRS released two notices addressing "basket contracts." Generally, these are derivative instruments linked to a basket of reference