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Chair White’s Remarks
  • Morrison & Foerster LLP
  • USA
  • January 18 2017

On January 17, Chair White delivered a speech at The Economic Club of New York, which was titled “The SEC after the Financial Crisis: Protecting


European financial & Regulatory Developments into 2017
  • Morrison & Foerster LLP
  • European Union, United Kingdom, USA
  • January 13 2017

Lloyd George and Epictetus may be long gone but their words have much resonance with the events of 2016. The political fallout from the UK's vote to


OCIE 2017 Exam Priorities: Focus on Retail, Elderly and Retirement Investors; Market Risks
  • Morrison & Foerster LLP
  • USA
  • January 12 2017

The SEC's National Examination Program (NEA) of the Office of Compliance Inspections and Examinations (OCIE) announced that its examination priorities


FINRA Issues 2017 Examination Priorities Letter
  • Morrison & Foerster LLP
  • USA
  • January 9 2017

Consistent with prior practice, with the arrival of the New Year, FINRA has published its key examination priorities. The letter may be


New York City Retracts Policy Regarding BrokerDealer Sourcing for Non-Registered Broker Dealers
  • Morrison & Foerster LLP
  • USA
  • January 6 2017

The New York City Department of Finance has taken the unusual step of disavowing, through an Audit Division pronouncement, two Finance Letter Rulings


Global Accounting Standards
  • Morrison & Foerster LLP
  • USA
  • January 6 2017

The Chair of the Securities and Exchange Commission Mary Jo White recently commented on the significance of high-quality accounting standards. The


Outcomes of Investing in OTC Stocks
  • Morrison & Foerster LLP
  • USA
  • January 4 2017

The Division of Economic and Risk Analysis (DERA) of the Securities and Exchange Commission published a study recently that reviews, among other


Unfinished Business: SEC Chair White Reveals New Rules Ready to Go
  • Morrison & Foerster LLP
  • USA
  • December 28 2016

In a letter dated December 12, 2016, to the Chair of the Senate Committee on Banking Housing and Urban Affairs, SEC Chair Mary Jo White took issue


2016 U.S. IPO Market Review
  • Morrison & Foerster LLP
  • USA
  • December 28 2016

Renaissance Capital reported several record lows in their 2016 Annual Review of the U.S. IPO Market. A total of 105 IPOs were completed in 2016


U.S. Regulatory Agenda: What to Expect in 2017 (for Structured Products)
  • Morrison & Foerster LLP
  • USA
  • December 27 2016

At the end of each of the last several years, we have shared with readers our list of anticipated areas of focus for the coming year. This particular