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Results: 1-10 of 1,652

FINRA Permits Related Performance Information in Institutional Communications for Registered Closed-End Funds
  • Morrison & Foerster LLP
  • USA
  • June 21 2017

In an interpretive guidance letter issued to a registered closed-end fund on June 9, 2017, FINRA permitted the use of “related performance


CFTC Adopts Amendments to its Recordkeeping Rules
  • Morrison & Foerster LLP
  • USA
  • June 16 2017

On May 23, 2017, the Commodity Futures Trading Commission ("CFTC") finalized rule amendments to its recordkeeping rule, CFTC Reg. 1.31, as well as


U.S. Treasury Department Report on Core Principles for Regulating the United States Financial System
  • Morrison & Foerster LLP
  • USA
  • June 13 2017

As required by the President's Executive Order 13772 setting forth the core principles that should be taken into account in connection with the


Financial CHOICE Act Approved in the House
  • Morrison & Foerster LLP
  • USA
  • June 12 2017

On June 8, 2017, the House passed H.R. 10, the Financial “CHOICE” Act with a vote of 233 to 186. Introduced on April 27, 2017, the Financial CHOICE


U.S. House of Representatives Passes the Financial CHOICE Act of 2017
  • Morrison & Foerster LLP
  • USA
  • June 9 2017

On June 8, 2017, the Financial CHOICE Act of 2017 (the "CHOICE Act") was passed on a party line vote by the U.S. House of Representatives, with nearly


Implementation of the Department of Labor ("DOL") Fiduciary Rule
  • Morrison & Foerster LLP
  • USA
  • June 5 2017

On June 9, 2017, the expanded definition of “fiduciary” goes into effect. You will be deemed a “fiduciary” if, for compensation, you provide advice or


SEC Registration of Structured UITs
  • Morrison & Foerster LLP
  • USA
  • June 3 2017

Unit investment trusts ("UITs") with payoff structures similar to those usually associated with structured notes are beginning to gain appeal. These


Impact of T2 Change on Existing Tax Rulings
  • Morrison & Foerster LLP
  • USA
  • June 3 2017

On March 22, 2017, the SEC adopted an amendment to its rules under the Securities Exchange Act of 1934 that shortens the standard settlement cycle for


Implementing the DOL Fiduciary Rule
  • Morrison & Foerster LLP
  • USA
  • June 3 2017

On June 9, 2017, key provisions of the fiduciary rule adopted by the Department of Labor ("DOL") will become applicable for most


Living with the DOL Fiduciary Rule: Be Prepared for the June 9 Implementation Date
  • Morrison & Foerster LLP
  • USA
  • June 3 2017

To date, the Fiduciary Rule has survived all challenges. In response to an executive order issued by the President directing the DOL to re-evaluate