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SEC Eases Regulatory Burden for Listing Actively Managed ETFs
  • Morrison & Foerster LLP
  • USA
  • July 25 2016

The Securities and Exchange Commission took a step toward streamlining the approval process for actively managed ETFs last week by approving rule


SEC Advisory Committee on Small and Emerging Companies Meets
  • Morrison & Foerster LLP
  • USA
  • July 19 2016

On July 19, 2016, the Advisory Committee on Small and Emerging Companies met to discuss the “accredited investor” definition, the Regulation A market


Congressmen Question IPO Fees
  • Morrison & Foerster LLP
  • USA
  • July 18 2016

Congressman Himes (CT) and eight other members of Congress wrote to FINRA and to the Securities and Exchange Commission questioning the typical 7


IPO Market Update
  • Morrison & Foerster LLP
  • USA
  • July 18 2016

During the second quarter 2016, the IPO market improved with 34 IPOs raising approximately $5.5 billion, according to Renaissance Capital. While


SEC Approves NASDAQ’s Proposed Rule on Golden Leash Arrangements
  • Morrison & Foerster LLP
  • USA
  • July 18 2016

On July 1, 2016, the SEC approved NASDAQ’s proposed Rule 5250(b)(3), as amended by Amendment No. 2 filed on June 30, 2016 (the “Final Rule”


OCIE Gives Advisers a Heads-Up About Its Latest Sweep Examination Initiative
  • Morrison & Foerster LLP
  • USA
  • July 18 2016

Last week, OCIE published a National Exam Program Risk Alert highlighting the staff’s focus on advisers’ responsibility to act consistently with


Agenda Announced for the July 19 SEC Advisory Committee Meeting
  • Morrison & Foerster LLP
  • USA
  • July 15 2016

The agenda for the July 19 meeting of the SEC Advisory Committee on Small and Emerging Companies was recently announced. During the meeting, the


FINRA Study of Financial Literacy: Many Investors May Not Have It
  • Morrison & Foerster LLP
  • USA
  • July 14 2016

In July 2016, FINRA’s Investor Education Foundation released the findings from its National Financial Capability Study. (FINRA’s press release may be


Proposed Financial Disclosure Changes Could Impact Funds and BDCs
  • Morrison & Foerster LLP
  • USA
  • July 14 2016

At an open meeting this week, the SEC voted to propose changes to certain disclosure rules affecting public issuers including, among others


Investor Advocate Priorities
  • Morrison & Foerster LLP
  • USA
  • July 13 2016

Recently, the SEC’s Investor Advocate released a report regarding the Office’s areas of focus for fiscal year 2017. The report notes that the Office