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: 1-10 of 26

FINRA Fines Broker-Dealers for Sales of Non-Traditional ETFs
  • Morrison & Foerster LLP
  • USA
  • August 28 2017

In August 2017, FINRA entered into a consent agreement with a Georgia-based broker-dealer arising from improper practices and procedures relating to


U.S. Regulatory Agenda: What to Expect in 2017 (for Structured Products)
  • Morrison & Foerster LLP
  • USA
  • December 27 2016

At the end of each of the last several years, we have shared with readers our list of anticipated areas of focus for the coming year. This particular


Investment Management Legal Regulatory Update - August 2016
  • Morrison & Foerster LLP
  • USA
  • August 16 2016

First, the SEC required funds to designate a Chief Compliance Officer. Then, the SEC proposed that funds designate a liquidity risk manager and


Investment management legal regulatory update - April 2016
  • Morrison & Foerster LLP
  • USA
  • April 20 2016

The Department of Labor (DOL) issued its long-anticipated final regulation (the “Regulation”) defining who is a fiduciary as a result of giving


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


Investment management legal regulatory update - November 2015
  • Morrison & Foerster LLP
  • USA
  • November 17 2015

In a Risk Alert dated November 9, 2015, the SEC’s Office of Compliance Inspections and Examinations (OCIE) said it found that outsourced compliance


FINRA issues investor alert on fraudulent binary options
  • Morrison & Foerster LLP
  • USA
  • November 4 2015

In October 2015, FINRA issued an investor alert, "Binary Options: These All-Or-Nothing Options Are All-Too-Often Fraudulent." The alert, and FINRA's


IRS releases notices designating certain “basket contracts” as listed transactions and others as reportable transactions of interest
  • Morrison & Foerster LLP
  • USA
  • August 31 2015

In July 2015, the IRS released two notices addressing "basket contracts." Generally, these are derivative instruments linked to a basket of reference