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Results: 1-10 of 511

FINRA Addresses Inaccurate Levels of a Proprietary Index
  • Morrison & Foerster LLP
  • USA
  • January 15 2016

In November 2015, FINRA fined a member firm after the member firm published inaccurate levels for a proprietary index. In this case, FINRA


SEC Issues Research Note Relating to August 2015 Equity Market Volatility
  • Morrison & Foerster LLP
  • USA
  • January 15 2016

In December 2015, the Office of Analytics and Research of the SEC’s Division of Trading and Markets issued a research note discussing the extreme


U.S. Regulatory Developments: What to Expect in 2016
  • Morrison & Foerster LLP
  • USA
  • December 14 2015

As we make our annual prognostications, there is less visibility than in years past regarding many regulatory and enforcement matters. The majority


SEC proposes to amend rules governing its administrative proceedings
  • Orrick, Herrington & Sutcliffe LLP
  • USA
  • October 5 2015

On September 24, the U.S. Securities and Exchange Commission (the "SEC") proposed to amend rules governing its administrative proceedings. Key


SEC seeks public comment on Regulation S-X
  • Orrick, Herrington & Sutcliffe LLP
  • USA
  • October 5 2015

On September 25, the U.S. Securities and Exchange Commission (the "SEC") announced that it is seeking public comment on the effectiveness of


Financial services update vol. 10, issue 29
  • Winston & Strawn LLP
  • European Union, USA
  • August 24 2015

The United States Treasury Department’s Financial Crimes Enforcement Network (FinCEN) is once again pushing for regulations that would require


Financial services update Vol. 10, Issue 9
  • Winston & Strawn LLP
  • European Union, USA
  • March 9 2015

I recently had the opportunity to invest in individual shortterm real estate loans. Having devoted my current liquidity to a real estate


What to expect in 2015?
  • Morrison & Foerster LLP
  • USA
  • December 23 2014

Here are our thoughts on what to expect in the structured products area in 2015. Dodd-Frank-Related Developments The Volcker Rule: Last year at about


Index changes and successor indices: avoiding delisting from the NYSE Arca
  • Morrison & Foerster LLP
  • USA
  • November 11 2014

Down deep, somewhere in the boilerplate in the back of a prospectus for an index-linked note, you can find the provisions for index adjustments and


U.S. regulators finalize credit risk retention rules
  • Morrison & Foerster LLP
  • USA
  • October 21 2014

Today, the Federal Deposit Insurance Corporation (the "FDIC"), the Federal Housing Finance Agency (the "FHFA"), and the Office of the Comptroller of