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22 results found

Article

Morrison & Foerster LLP | USA | 20 May 2015

SEC proposes heightened data and reporting rules for funds and advisers, ponders new rules on derivatives and leverage

At an open meeting of the Securities and Exchange Commission today, Chair Mary Jo W hite announced to enhance SEC reporting by investment companies

Article

Morrison & Foerster LLP | USA | 8 Jan 2015

FINRA issues a packed priorities letter for 2015

FINRA opened 2015 with a lengthy and ambitious agenda of regulatory priorities. This year’s Regulatory and Examination Priorities Letter is much

Article

Morrison & Foerster LLP | USA | 1 Dec 2014

Key regulators speak at structured products conference

On November 12, 2014, Structured Products held its annual regulatory, compliance and legal conference in Washington, D.C. Conference attendees had

Article

Morrison & Foerster LLP | USA | 21 Oct 2014

SEC staff finds that broker-dealers still are not conducting adequate section 5 reviews

The staff of the SEC recently addressed broker-dealers' obligations when engaging in transactions in unregistered securities by issuing FAQs and a

Article

Morrison & Foerster LLP | USA | 29 Jul 2014

Additional fees on securities transactions FINRA sees no justification

In an area of broker-dealer practices with relatively little guidancethe appropriate level of commissions or mark ups on securities

Article

Morrison & Foerster LLP | USA | 11 Jun 2014

Securities regulators seek information on order routing

Apparently attempting to understand how broker-dealers provide best execution in the face of incentives to trade on certain exchanges, the SEC and

Article

Morrison & Foerster LLP | USA | 20 May 2014

SEC approves amendments to FINRA’s Corporate Financing Rule

In May 2014, the SEC approved FINRA's proposed amendments to Rule 5110, commonly called the Corporate Financing Rule.1 The Corporate Financing Rule

Article

Morrison & Foerster LLP | USA | 28 Apr 2014

Securities regulators are inspired by an academic article to seek information regarding order routing

Apparently attempting to understand how broker-dealers provide best execution in the face of incentives to trade at certain exchanges, the SEC and

Article

Morrison & Foerster LLP | USA, Mexico | 5 Feb 2014

FINRA focusses AML enforcement on a BD doing business in Mexico

The Financial Industry Regulatory Authority (FINRA) recently took formal disciplinary action against a New York- based broker-dealer that is

Article

Morrison & Foerster LLP | USA | 7 Jan 2014

“Structured products, meet the Volcker Rule”: the new limitations on proprietary trading

As readers of this publication know, the long-anticipated final Volcker Rule has been issued. The rule generally prohibits, among other

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