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Muhannad R. Al-Najjab

Morrison & Foerster LLP

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Due diligence procedures for structured note distributors

USA - May 15 2013 Sections 11 and 12 are the main liability provisions under the Securities Act of 1933, as amended (the "Securities Act"). Section 11 covers...

Lloyd S. Harmetz, Charles M. Horn, Bradley Berman.


The SEC and FINRA: protect your elders

USA - May 15 2013 In April 2013, the SEC, in association with FINRA, held a Compliance Outreach Program for broker-dealers. The program included a panel that addressed...

Lloyd S. Harmetz, Charles M. Horn, Bradley Berman.


Key issues for Yankee CDs

USA - May 15 2013 Yankee CDs are certificates of deposit issued by U.S. branches of non-U.S. banks. Some Yankee CDs are issued by a federally licensed branch that is...

Lloyd S. Harmetz, Charles M. Horn, Bradley Berman.


The Financial Stability Oversight Council’s 2013 annual report: increasing exchange-traded product activity

USA - May 15 2013 In its 2013 Annual Report, the U.S. Financial Stability Oversight Council (the "FSOC") summarized, as part of its review of investment funds...

Lloyd S. Harmetz, Charles M. Horn, Bradley Berman.


SEC discusses estimated value at Structured Products conference

USA - May 15 2013 On May 2, 2013, Amy Starr, Chief of the SEC's Office of Capital Markets Trends, spoke by teleconference at Structured Products magazine's Americas...

Lloyd S. Harmetz, Charles M. Horn, Bradley Berman.