Anna T. Pinedo

Anna T. Pinedo

Morrison & Foerster LLP

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Chair White’s Remarks

On January 17, Chair White delivered a speech at The Economic Club of New York, which was titled “The SEC after the Financial Crisis: Protecting Investors, Preserving Markets.” Chair White commented on the Securities and...more

1/18/2017 - Broker-Dealer Financial Institutions Pending Legislation SEC

Late-Stage Private Placements

As we have reported in other blog posts, many successful privately held companies are able to raise funds from institutional investors at attractive valuations and defer their IPOs. While the exuberance regarding valuations...more

1/11/2017 - Institutional Investors Private Placements

FINRA Issues 2017 Examination Priorities Letter

Introduction - Consistent with prior practice, with the arrival of the new year, FINRA has published its key examination priorities. As in prior years, the letter covers a broad array of topics. This year’s topics...more

1/9/2017 - Broker-Dealer Examination Priorities FINRA Investors SEC

Global Accounting Standards

The Chair of the Securities and Exchange Commission Mary Jo White recently commented on the significance of high-quality accounting standards. The speech noted the need to support continued work toward the globally accepted...more

1/6/2017 - FASB Global Accounting Standards IASB SEC Securities

The Short Field Guide to IPOs - 2017

THE EMERGING GROWTH COMPANY - The JOBS Act created a new class of issuer: the emerging growth company (EGC). An EGC is defined as an issuer with total annual gross revenue of less than $1 billion during the most recent...more

1/5/2017 - Emerging Growth Companies Financial Reporting Foreign Private Issuers Initial Public Offerings IPO JOBS Act Public Offerings REIT Underwriting

Outcomes of Investing in OTC Stocks

The Division of Economic and Risk Analysis (DERA) of the Securities and Exchange Commission published a study recently that reviews, among other things, the performance of and the returns of investing in OTC stocks. The...more

1/5/2017 - Division of Economic and Risk Analysis (DERA) Nasdaq NYSE OTC Regulation A SEC Securities Stocks

PIPE Transactions

In a year of significant volatility, it is not surprising that there was increased reliance on PIPE (private investment in public equity) transactions. Traditionally, PIPE transactions have provided a useful capital-raising...more

1/4/2017 - Capital Raising Equity PIPEs Private Investment Funds

Structured Thoughts: News for the financial services community - Special Issue

Final TLAC Rules and Structured Products - On December 15, 2016, the Board of Governors of the Federal Reserve System (the “Federal Reserve”) issued its final rules regarding long-term debt and total loss absorbing...more

12/27/2016 - Depository Institutions EU EU Benchmark Regulation Fiduciary Rule FINRA Foreign Banks G-SIB Holding Companies IRS MiFID II Packaged Retail And Insurance-Based Investment Products (PRIIPS) Popular Regulatory Agenda Section 871(m) Structured Financial Products TLAC UK UK Brexit

TLAC’s Back! Sifting Through the Federal Reserve’s Final TLAC Rule

On December 15, 2016, the Board of Governors of the Federal Reserve System (the “Federal Reserve”) issued its final rules regarding total loss absorbing capacity (the “Final TLAC Rule”) requirements for global systemically...more

12/17/2016 - Bank Holding Company Capital Requirements Federal Reserve G-SIB Grace Period Grandfathered Status Holding Companies TLAC

Structured Thoughts: News for the financial services community, Volume 7, Issue 12

FDIC Adopts New Recordkeeping Requirements for Large Banks – Modifies Original Proposal as to Brokered CDs - In November 2016, the FDIC approved a final rule establishing recordkeeping requirements for insured...more

12/13/2016 - Banks Big Data DOL EU FDIC Fiduciary Rule FINRA Fixed Income Investments IRS MREL Recordkeeping Requirements SEC

Shaping MREL for European (and non-European) Banks

The European Commission (“Commission”), on 23 November 2016, released its legislative proposals to amend the EU’s Bank Recovery and Resolution Directive (“BRRD”) to provide more detailed rules relating to the setting of MREL...more

12/12/2016 - Banks Bonds BRRD Capital Requirements Regulation (CRR) EU European Commission Holding Companies Insolvency MREL Structured Financial Products Subordination TLAC

Staff Guidance on Rule 144A Related Issues

On December 8, 2016, the staff of the Division of Corporation Finance provided additional guidance in the form of Compliance and Disclosure Interpretations (“C&DIs”) related to the types of securities that may be counted...more

12/12/2016 - C&DIs Registered Investment Companies (RICs) Rule 144A Securities

SEC Advisory Committee on Small and Emerging Companies Meeting

The next meeting of the Advisory Committee will be held by conference call on December 7. The call will be available to members of the public. The agenda includes plans to consider recommendations regarding corporate board...more

12/5/2016 - Advisory Committee Emerging Growth Companies SEC

SEC Delivers Report to Congress on Disclosure Simplification

The FAST Act required the Securities and Exchange Commission to deliver to Congress a report detailing its recommendations regarding the modernization and simplification of the disclosure requirements contained in Regulation...more

11/28/2016 - Disclosure Requirements EDGAR Fixing America’s Surface Transportation Act (FAST Act) Regulation S-K SEC

Investor Advisory Council Meeting

The Securities and Exchange Commission announced that the next meeting of the Council will take place on December 8, 2016, commencing at 9.30 am. ...more

11/21/2016 - Fixing America’s Surface Transportation Act (FAST Act) Investor Advisory Committee SEC

SEC Division of Corporation Finance Update

At the American Bar Association’s Fall Meeting, Keith Higgins, Director of the SEC’s Division of Corporation Finance (the “Division”), gave his last “Dialogue with the Director” given the upcoming change in administration. ...more

11/21/2016 - Amended Rules C&DIs Corporate Financing Disclosure Requirements Federal Register Fixing America’s Surface Transportation Act (FAST Act) Form S-8 Public Offerings Regulation S-K Rule 147 Rule 147A Rule 506 Offerings Rule 701 SEC Section 504 Securities Act Shareholder Proposals

Quick Guide to REIT IPOs - 2016

Real Estate Investment Trusts (“REITs”) are endlessly inventive. They were first developed in the 1960s as a means for ordinary retail investors to hold interests in real estate. The REIT market has waxed and waned over the...more

11/18/2016 - CFTC Corporate Governance D&O Insurance Dodd-Frank Emerging Growth Companies Initial Public Offerings Mortgage REITS Registration Statement REIT Sarbanes-Oxley SEC

Structured Thoughts: News for the financial services community, Volume 7, Issue 11

Structured Products Legal and Regulatory Conference: November 2016 - In November 2016, Morrison & Foerster LLP sponsored Risk magazine’s annual structured products legal and regulatory conference in Washington, D.C. ...more

11/18/2016 - Cross-Selling DOL ETNs Fiduciary Rule FINRA International Regulatory Standards Nasdaq Packaged Retail And Insurance-Based Investment Products (PRIIPS) SEC Structured Financial Products

SEC Announces Agenda, Panelists for Nov. 14 Fintech Forum

On November 3, 2016, the SEC announced the agenda and the panelists for its first ever fintech forum on November 14th. As noted in the announcement, the session, which will begin at 9 a.m. ET, will be divided into four...more

11/4/2016 - Capital Formation FinTech Investment Adviser SEC

SEC Will Vote on Final Intrastate Offering Exemptions

On Wednesday, October 26, 2016, beginning at 10:00 a.m., the Securities and Exchange Commission will hold an open meeting at which the Commission will consider the adoption of final rule amendments relating to Securities Act...more

10/24/2016 - Accredited Investors Crowdfunding Exemptions Non-Accredited Investors Proposed Amendments Public Meetings Regulation D Rule 147 SEC

MoFo Tax Talk - Volume 9, No. 3

IRS Issues Proposed Regs on RIC Commodity Investments - On September 27, 2016, the IRS issued proposed regulations (the “Proposed Regulations”) providing guidance relating to the income test and asset diversification...more

10/13/2016 - Capital Gains CFCs Corporate Taxes Donald Trump Estate Tax Hillary Clinton Income Taxes IRS Marital Status PFIC Political Candidates Presidential Elections Proposed Regulation Registered Investment Companies (RICs) REIT TEFRA

Structured Thoughts: News for the financial services community, Volume 7, Issue 10

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 Public. One of...more

10/6/2016 - Administrative Proceedings Broker-Dealer Enforcement Actions Exchange-Traded Products FINRA Mortgage REITS NASAA Proposed Amendments Rule 2210 SEC

First Ever SEC Fintech Forum

On September 27th, 2016, the SEC announced it will host a public forum to discuss financial technology (Fintech) innovation in the financial services industry. The press release notes that the forum is designed to foster...more

9/28/2016 - Blockchain Crowdfunding Financial Services Industry FinTech Investment Adviser Online Marketplace Lending Popular SEC

Structured Thoughts: News for the financial services community, Volume 7, Issue 9

Updating Unregistered Structured Note Programs: How Frequently? - For some types of securities offering programs, we have “black letter law” that instructs issuers how frequently the program documentation should be...more

9/15/2016 - BaFin Bank Holding Company Brokerage Accounts Cease and Desist Orders Duty to Update Federal Reserve Financial Sector FINRA Fixed Income Investments Germany Income Tax Act Private Funds SEC Subsidiaries TLAC TRACE

The next chapter - A new bond linking financial returns to environmental or social goals could thrive. But securities law...

Shakespeare’s Juliet may not have ascribed great significance to a name but for securities lawyers and market participants alike there is significance to nomenclature. Social impact bonds, or investments that are intended to...more

9/13/2016 - 501(c)(3) Bonds Charitable Organizations Debt Securities Exemptions Investment IRS No-Action Letters Non-Profits Pay-for-Performance Registration Requirement SEC Securities Act of 1933 Tax Exemptions

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