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Results: 1-10 of 52

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


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


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


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


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


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


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