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Morrison & Foerster LLP | USA | 3 May 2018

Retail Client Confusion Regarding Broker-Dealers and Investment Advisers: Call Me by Your Name

In a speech on May 2, 2018 regarding the SEC’s recent proposed broker-dealer standard of conduct, Jay Clayton, Chair of the Securities and Exchange


Morrison & Foerster LLP | USA | 2 May 2018

SEC Proposes Simplified Relationship Summary for Broker-Dealers and Investment Advisers to Use with Retail Investors

In the third release comprising part of the package of proposed rules and forms related to broker-dealers' and investment advisers' standards of


Morrison & Foerster LLP | USA | 18 Apr 2018

Broker-Dealer Standard of Care: The SEC Enters the Fray

At an open meeting held earlier today, the SEC voted 4-1 to propose a package of rules, forms, and guidance designed to define a new “best interest”


Morrison & Foerster LLP | USA | 16 Feb 2018

First State Charges Broker-Dealer in Connection with Violations of DOL Fiduciary Rule

On February 15, 2018, the Enforcement Section of the Massachusetts Securities Division (the “Division”) of the Office of the Secretary of the


Morrison & Foerster LLP | USA | 20 Jun 2017

Attention Retail Investors: The SEC Wants to Hear Your Views on the DOL’s Fiduciary Rule

In connection with the Department of Labor’s (“DOL”) fiduciary rule (the “Fiduciary Rule”), key provisions of which became applicable on June 9, 2017


Morrison & Foerster LLP | USA | 3 Feb 2017

Investment Management Legal Regulatory Update - February 2017

On January 13, 2017, the U.S. Department of Labor...


Morrison & Foerster LLP | USA | 23 Jan 2017

DOL Issues Additional Guidance on Fiduciary Rule

On January 13, 2017, the U.S. Department of Labor ("DOL") issued a second set of guidance on its new...


Morrison & Foerster LLP | USA | 6 Oct 2016

FINRA Revises its Proposed Amendments to Rule 2210

In our recent Client Alert, we wrote about the Financial Industry Regulatory Authority, Inc.'s proposed changes to Rule 2210, Communications with the


Morrison & Foerster LLP | USA | 15 Sep 2016

The Financial Choice Act: Implications for the U.S. Securities Legal Framework

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


Morrison & Foerster LLP | European Union | 12 Aug 2016

European Commission Publishes Draft Regulation on Geo-Blocking - Will It Unblock E-Commerce Across the EU?

As part of the Commission’s Digital Single Market initiative, the European Commission has published a draft Regulation aimed at preventing traders

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