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Results: 1-10 of 44

Losing WKSI status: consequences for structured note dealers
  • Morrison & Foerster LLP
  • Canada, USA
  • May 1 2015

The SEC's rules that classify issuers are not always widely followed beyond the securities bar. However, one of the most active current debates about


The SEC defines “voting equity securities” under the Rule 506(d) bad actor disqualification rules
  • Morrison & Foerster LLP
  • USA
  • May 1 2015

The SEC is continuing to tie up some loose ends left over from the adoption of the Rule 506(d) bad actor disqualification rules. Obtaining certainty


For members only: FINRA updates rules re: payments to non-members
  • Morrison & Foerster LLP
  • USA
  • May 1 2015

In March 2015, FINRA issued Regulatory Notice 15-07, which describes FINRA’s upcoming rule changes relating to payments by FINRA member firms to


SEC Commissioner addresses structured notes
  • Morrison & Foerster LLP
  • USA
  • May 1 2015

On April 14, 2015, in the opening speech before the North American Securities Administrators Association (the “NASAA”) at its Annual NASAASEC 19(d


The national senior investor initiative
  • Morrison & Foerster LLP
  • USA
  • May 1 2015

On April 15, 2015, the SEC's Office of Internal Compliance Inspections and Examinations (OCIE), together with FINRA, released a report focusing on


SEC issues investor bulletin relating to structured notes
  • Morrison & Foerster LLP
  • USA
  • March 12 2015

In January 2015, the SEC's Office of Investor Education and Advocacy issued an investor bulletin relating to structured notes. The alert may be found


Northern bound: Canadian regulators adopt certain U.S. regulatory principles
  • Morrison & Foerster LLP
  • Canada, USA
  • March 12 2015

In January 2015, the Staff of the Canadian Securities Administrators (the “CSAs”) issued notice 44-305, “Structured Notes Distributed Under the Shelf


OCC updates Retail Non-Deposit Investment Product guidance in Comptroller’s Handbook
  • Morrison & Foerster LLP
  • USA
  • January 26 2015

On January 14, 2015, the Office of the Comptroller of the Currency (OCC) updated the booklet in its Comptroller's Handbook related to Retail


FINRA releases 2015 regulatory and exam priorities letter: structured products remain an area of focus
  • Morrison & Foerster LLP
  • USA
  • January 26 2015

On January 6, 2015, FINRA issued its annual regulatory and examination priorities letter. As in the past few years, structured products will remain


In re: TVIX securities litigationSecond Circuit affirms lower court decision
  • Morrison & Foerster LLP
  • USA
  • January 26 2015

In December 2014, the U.S. Court of Appeals for the Second Circuit affirmed the district court’s decision (our recent article regarding the district