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Results: 1-10 of 1,593

SEC grants limited relief from custody rule for advisers relying on clients' standing letters of instruction
  • Morrison & Foerster LLP
  • USA
  • March 21 2017

In a letter to the Investment Adviser Association (IAA), the Staff of the Division of Investment Management said that investment advisers acting


FINRA Proposes Changes to Private Placement Filer Form
  • Morrison & Foerster LLP
  • USA
  • March 20 2017

On March 17, 2017, FINRA filed with the SEC proposed changes to the Private Placement Filer Form (“Filer Form”) that FINRA members must complete when


Is it Time to Streamline Financial Regulation?
  • Morrison & Foerster LLP
  • USA
  • March 16 2017

A March 13, 2017 presidential order requiring a comprehensive plan to reorganize the Executive Branch could be the first step toward Streamlining the


Financial Services Report - Spring 2017
  • Morrison & Foerster LLP
  • USA
  • March 15 2017

In Shaw v. United States, 137 S. Ct. 462 (2016), the Supreme Court held that the Bank Fraud Act applies to acts intended to defraud a depositor and


News round up - March 2017
  • Morrison & Foerster LLP
  • European Union, Israel, USA
  • March 13 2017

President Trump has issued a number of orders that have as their aim reducing regulatory burdens. For example, there is the January 30, 2017 “Two for


SEC Releases White Paper on Crowdfunding
  • Morrison & Foerster LLP
  • USA
  • March 13 2017

On February 28, 2017, the SEC released a white paper analyzing crowdfunded offerings during the first six months following the effective date of


SEC Issues Order Temporarily Suspending Issuer’s Ability to Utilize Regulation A
  • Morrison & Foerster LLP
  • USA
  • March 13 2017

On February 28, 2017, the SEC issued an order (the “Order”) temporarily suspending the ability of Web Debt Solutions, LLC (“Web Debt”) to utilize


Capital Formation Bills Approved by House and Senate Committees
  • Morrison & Foerster LLP
  • USA
  • March 10 2017

On March 9, 2017, a number of bipartisan bills designed to promote capital raising for companies were approved by the House Financial Services


The SEC Issues a Request for Comment on Possible Changes to Industry Guide 3
  • Morrison & Foerster LLP
  • USA
  • March 7 2017

On March 1st, 2017, the Securities and Exchange Commission ("Commission") issued a request for comment ("RFC") seeking comment on Industry Guide 3


Failure to follow compliance policies in connection with ETF sales leads to SEC sanctions
  • Morrison & Foerster LLP
  • USA
  • March 7 2017

A recent cease-and-desist order from the Securities and Exchange Commission illustrates the types of activity and compliance issue that should be