We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 1-8 of 8

Follow-On Offering Trends
  • Morrison & Foerster LLP
  • USA, United Kingdom, European Union
  • January 25 2017

Trends that had begun to surface in prior years were so accentuated in 2016 that they have become impossible to ignore. Over the years, we have urged


Time Period Extended for Consideration of Amendments to FINRA Communications Rules
  • Morrison & Foerster LLP
  • USA
  • August 11 2016

In our June 6, 2016, client alert, we discussed FINRA’s recently proposed amendments to its communications rules, including: FINRA Rule 2210


SEC extends sunset of Rule 206(3)-3T; staff study will shape future regulation of principal transactions
  • Morrison & Foerster LLP
  • USA
  • October 5 2011

In December 2010, the Securities and Exchange Commission extended an interim final rule regulating an investment adviser’s principal transactions with its clients


Back-testing
  • Morrison & Foerster LLP
  • USA
  • October 5 2011

Much of the product development work in the last year in the structured products market has been focused on index creation and the structuring of products linked to proprietary indices


Family offices
  • Morrison & Foerster LLP
  • USA
  • July 7 2011

On June 22, 2011, the SEC voted unanimously to adopt Rule 202(a)(11)(G)-1 under the Advisers Act, which provides an exemption from most provisions of the Advisers Act to certain family offices


SEC proposes to extend effectiveness of Rule 206(3)-3t
  • Morrison & Foerster LLP
  • USA
  • December 14 2010

In December 2010, the SEC proposed to extend the sunset provision of Rule 206(3)-3T.1


Lloyd S. Harmetz
  • Morrison & Foerster LLP