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Results: 1-10 of 1,068

Alphabet soup?
  • Morrison & Foerster LLP
  • USA
  • May 19 2015

If you are required to address issues arising from the Dodd-Frank Act andor Basel III, you may find our recently updated Regulatory Reform Glossary


House Financial Services Committee mark-up of JOBS Act bills
  • Morrison & Foerster LLP
  • USA
  • May 19 2015

On May 20th, the Committee will be meeting beginning at 10am in an open session to mark up eleven bills that relate to various capital formation and


House Small Business Committee hearing on P2P
  • Morrison & Foerster LLP
  • USA
  • May 18 2015

Last week, the House Small Business Committee held a hearing to discuss the rise of peer-to-peer lending and the availability of capital for small


FINRA’s revised Sanction Guidelines: higher, tougher, fairer?
  • Morrison & Foerster LLP
  • USA
  • May 18 2015

FINRA's newly revised Sanction Guidelines, effective immediately, signal that the upward trend in sanctions against broker-dealers is likely to


Administrative proceedings vs. federal court: the SEC provides limited transparency into its choice of forum
  • Morrison & Foerster LLP
  • USA
  • May 11 2015

For the past two years, the SEC has come under heavy fire, both inside and outside the Commission, for its increasing use of its own administrative


Getting the measure of EGC corporate governance practices: a survey and related resources
  • Morrison & Foerster LLP
  • USA
  • May 7 2015

Corporate governance has changed dramatically in the nearly 13 years since passage of the Sarbanes-Oxley Act of 2002 and in the nearly five years


Pay-versus-performance: SEC proposes rules to expand executive compensation disclosure in proxy materials
  • Morrison & Foerster LLP
  • USA
  • May 5 2015

Nearly five years after the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Act”) was enacted in July 2010, the SEC narrowly approved


FINRA is apparently holding its CARDS
  • Morrison & Foerster LLP
  • USA
  • May 4 2015

Broker-dealers appear to have succeeded, at least for now, in beating back FINRA's proposal to capture extensive amounts of data through electronic


SEC issues cybersecurity guidance for registered investment advisers and registered funds
  • Morrison & Foerster LLP
  • USA
  • May 1 2015

The SEC's Division of Investment Management issued guidance highlighting the importance of cybersecurity and discussing measures that registered


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