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Venture Exchange Regulation: Listing Standards, Market Microstructure, and Investor Protection
  • Morrison & Foerster LLP
  • USA
  • September 23 2016

This summer, the House Financial Services Committee passed the Main Street Growth Act, which calls for legislative changes to promote the formation of


House Bill Would Ease Regulatory Restrictions to Private Fund Advisers
  • Morrison & Foerster LLP
  • USA
  • September 21 2016

On September 9, 2016, the U.S. House of Representatives approved a bill that would amend the Investment Advisers Act of 1940 to modernize certain


Top Ten International Anti-Corruption Developments for August 2016
  • Morrison & Foerster LLP
  • USA
  • September 20 2016

On August 11, 2016, SEC announced it had resolved allegations that Houston-based Key Energy Services, Inc. improperly recorded as legitimate


Capital Acquisition Brokers: New Category of Broker-Dealers Provides Limited Relief for Some Investment Banking Boutiques
  • Morrison & Foerster LLP
  • USA
  • September 16 2016

The SEC recently approved a set of FINRA rules which creates a new category of broker-dealers known as Capital Acquisition Brokers or CABs. The rules


FINRA to Conduct Targeted Exams of Unit Investment Trust Rollovers
  • Morrison & Foerster LLP
  • USA
  • September 16 2016

FINRA recently announced that it will be conducting an inquiry into unit investment trust (“UIT”) rollovers. UITs generally are unmanaged registered


The Financial Choice Act: Implications for the U.S. Securities Legal Framework
  • Morrison & Foerster LLP
  • USA
  • September 15 2016

On September 13, 2016, the House Financial Services Committee of the United States House of Representatives (the "FSC")1 formally released H.R. 5983


Considerations for Foreign Banks Financing in the United States
  • Morrison & Foerster LLP
  • USA
  • September 14 2016

Foreign issuers, including foreign banks, which are considering accessing the US capital markets have a number of financing alternatives. As


Updating Unregistered Structured Note Programs: How Frequently?
  • Morrison & Foerster LLP
  • USA
  • September 14 2016

For some types of securities offering programs, we have "black letter law" that instructs issuers how frequently the program documentation should be


TLAC: Clearing up Misconceptions
  • Morrison & Foerster LLP
  • USA
  • September 14 2016

The popular press is perpetuating misconceptions regarding the Federal Reserve's proposed TLAC requirements. The TLAC proposal is leading some bank


FINRA TRACE Reporting and Time of Execution
  • Morrison & Foerster LLP
  • USA
  • September 14 2016

In August 2016, the Financial Industry Regulatory Authority, Inc. ("FINRA") released Regulatory Notice 16-30. The notice reiterates the requirement