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Are Your Customer Accounts in Order? SEC Announces Sweep of Broker-Dealers and Implementation of the Customer Protection Rule Initiative
  • Morrison & Foerster LLP
  • USA
  • August 26 2016

On June 23, 2016, the Securities and Exchange Commission (the SEC) announced that it would begin a coordinated effort across divisions to identify


Practice Pointers on Non-GAAP Financial Measures
  • Morrison & Foerster LLP
  • USA
  • August 16 2016

On June 27, 2016, Securities and Exchange Commission (“SEC”) Chair Mary Jo White, speaking at the International Corporate Governance Network’s Annual


The SEC’s Negligence Standard: What Is It, and What Does It Mean?
  • Morrison & Foerster LLP
  • USA
  • August 11 2016

Several years ago, the Securities and Exchange Commission’s (SEC) Enforcement Division announced its intention to pursue claims against issuers under


Time Period Extended for Consideration of Amendments to FINRA Communications Rules
  • Morrison & Foerster LLP
  • USA
  • August 11 2016

In our June 6, 2016, client alert, we discussed FINRA’s recently proposed amendments to its communications rules, including: FINRA Rule 2210


FINRA Announces Sweep of Broker-Dealers that Sell Non-Traded BDCs
  • Morrison & Foerster LLP
  • USA
  • August 8 2016

In a notice published on its website on August 4, 2016, FINRA announced that it is conducting an inquiry with respect to non-traded business


Tax Talk - Volume 9, No. 2, August 2016
  • Morrison & Foerster LLP
  • USA
  • August 5 2016

On April 4, 2016, the Treasury Department issued proposed regulations under Section 385 (the “Proposed Regulations”) which could dramatically change


Acquired Fund Fee Expenses and Business Development Companies
  • Morrison & Foerster LLP
  • USA
  • August 4 2016

The requirement of the Securities and Exchange Commission (the "SEC") for registered open-end funds to disclose "acquired fund fees and expenses"


Section 12(d)(1) and Business Development Companies
  • Morrison & Foerster LLP
  • USA
  • August 4 2016

Business development companies (BDCs) face challenges raising money due to a quirk in the federal securities laws that limits how much mutual funds


SEC Revises C&DI on Selling Securityholder Disclosure
  • Morrison & Foerster LLP
  • USA
  • July 29 2016

On July 26, 2016, the SEC revised Question 140.02 of its Compliance and Disclosure Interpretations (“C&DIs”) on Regulation S-K, pertaining to selling


Top Ten International Anti-Corruption Developments for June 2016
  • Morrison & Foerster LLP
  • OECD, United Kingdom, USA
  • July 29 2016

In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important international