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Results: 1-10 of 54

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 fines broker-dealer over institutional communications and representative training
  • Morrison & Foerster LLP
  • USA
  • August 31 2015

Sometimes, even the biggest worry warts among us would like to let our guard down a bit. We’d like to think that there are some contingencies at to


OCIE issues risk alert relating to structured note sales
  • Morrison & Foerster LLP
  • USA
  • August 31 2015

Earlier this year, the SEC's Office of Compliance Inspections and Examinations (the "OCIE") indicated branch offices and structured products as two


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


Who owns this FWP?
  • Morrison & Foerster LLP
  • USA
  • August 31 2015

Free writing prospectuses (FWPs) were first permitted under the SEC rules in December 2005. No industry has benefitted from them as much as the