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Final TLAC Rules and Structured Products
  • Morrison & Foerster LLP
  • USA
  • December 27 2016

On December 15, 2016, the Board of Governors of the Federal Reserve System (the "Federal Reserve") issued its final rules regarding long-term debt and


U.S. Regulatory Agenda: What to Expect in 2017 (for Structured Products)
  • Morrison & Foerster LLP
  • USA
  • December 27 2016

At the end of each of the last several years, we have shared with readers our list of anticipated areas of focus for the coming year. This particular


DTC Announces New Eligibility Procedures for Section 871(m) Transactions
  • Morrison & Foerster LLP
  • USA
  • December 27 2016

In October 2016, The Depository Trust Company ("DTC") announced that it is adjusting its eligibility procedures to comply with Section 871(m) of the


SEC Commissioner References Recent RevCon Settlement in Big Data Speech
  • Morrison & Foerster LLP
  • USA
  • December 13 2016

SEC Commissioner Kara M. Stein sees, through the use of new data tools and technology, an expansion of the SEC's ability to enforce its regulations in


FDIC Adopts New Recordkeeping Requirements for Large Banks Modifies Original Proposal as to Brokered CDs
  • Morrison & Foerster LLP
  • USA
  • December 13 2016

In November 2016, the FDIC approved a final rule establishing recordkeeping requirements for insured institutions with a large number of deposit


SEC Chair Discusses Enforcement Record and Enforcement Priorities
  • Morrison & Foerster LLP
  • USA
  • December 13 2016

In a November 2016 speech at New York University Law School's Program on Corporate Compliance and Enforcement, outgoing SEC Chair Mary Jo White


SEC Approves FINRA Rules for Enhanced Pricing Disclosure for Fixed-Income Securities
  • Morrison & Foerster LLP
  • USA
  • December 13 2016

In November, 2016, the SEC announced that it has approved FINRA's proposal that will require broker-dealers to disclose on retail customer


Conditional Offers to Buy
  • Morrison & Foerster LLP
  • USA
  • December 13 2016

In this publication, we often write about offering features used outside of structured products that find their way into the structured products


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