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9 results found

Article

Morrison & Foerster LLP | USA | 12 Mar 2018

FINRA 2018 exam priorities: suitability and complex products remain front and center

In January 2018, FINRA released its annual examination priorities letter. The letter addresses a variety of areas that are important to U.S

Article

Morrison & Foerster LLP | USA | 27 Dec 2016

U.S. Regulatory Agenda: What to Expect in 2017 (for Structured Products)

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

Article

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

Article

Morrison & Foerster LLP | USA | 1 Aug 2016

Impact of DOL’s Final Rule on Business Development Companies

On April 6, 2016, the U.S. Department of Labor (DOL) released its final rule defining who is a fiduciary in connection with investment advice that is

Article

Morrison & Foerster LLP | USA | 5 Oct 2011

SEC extends sunset of Rule 206(3)-3T; staff study will shape future regulation of principal transactions

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

Article

Morrison & Foerster LLP | USA | 1 Feb 2011

Americanwest Bancorporation: how a Section 363 sale in bankruptcy provides a viable recapitalization option for troubled banks

In the current economic environment, many banks have lost significant capital and are under immense pressure, regulatory and otherwise, to recapitalize.

Article

Morrison & Foerster LLP | USA | 5 Nov 2010

Proposed ERISA regulation would expand persons considered fiduciaries

On October 21, 2010, the Department of Labor issued a proposed regulation that could significantly expand the categories of persons considered fiduciaries as a result of their providing investment advice to plans subject to ERISA or to participants or beneficiaries of such plans.

Article

Morrison & Foerster LLP | USA | 2 Aug 2010

Revisiting your key corporate governance and disclosure policies

A number of important regulatory, legislative, and market developments arising since the onset of the financial crisis have made this an ideal time to revisit your key corporate governance and disclosure policies in order to determine whether changes should be made to reflect current law, standards, or best practices, and to determine whether additional policies should be implemented in light of recent events.

Article

Morrison & Foerster LLP | USA | 12 Jan 2010

SEC adopts as final Rule 206(3)-3T

At the end of December 2009, the SEC adopted on an interim final basis Rule 206(3)-3T.

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