Bradley Berman

Bradley Berman

Morrison & Foerster LLP

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

Financing Subsidiaries and SEC Registration - As readers of this publication know, in order to address the expected new U.S. regulatory capital requirements, a number of U.S. bank holding companies have been creating new...more

7/7/2016 - Bonds Complex Financial Products EU Federal Reserve Financial Services Industry Financing FINRA Global Systemically Important Financial Institutions (GSIFI) Investor Advisory Committee Investors ISDA SEC Securities Structured Financial Products Subsidiaries UK UK Brexit

Structured Thoughts: News for the financial services community, Volume 7, Issue 6

Structured Notes Offered on an Agency Basis - In our last issue, we discussed the potential impact of the Department of Labor’s new rules on sales of structured products. In that article, we discussed some of the...more

5/31/2016 - Comment Period Debt Deposit Accounts DOL FDIC FINRA Offerings Recordkeeping Requirements Regulation S-K Retirement Plan SEC Structured Financial Products Underwriting

Structured Thoughts: News for the financial services community, Volume 7, Issue 5

Electronic Structured Product Systems and FINRA’s Robo-Advisor Report - In a prior issue of this publication, we wrote about electronic structured note issuance platforms, and how these might be affected by U.S....more

5/2/2016 - Broker-Dealer European Securities and Markets Authority (ESMA) Financial Adviser FINRA OCC Regulation S-K Retail Investors SEC

Structured Thoughts: News for the financial services community, Volume 7, Issue 4

Structured Product Sales at Bank Branches: Networking- Arrangement Rules - Many broker-dealers engaged in the structured products industry are affiliates of large U.S. banks, which have a significant customer footprint. ...more

4/1/2016 - Banks Broker-Dealer Financial Services Industry FINRA High-Yield Markets SEC Structured Financial Products

Structured Thoughts: News for the financial services community, Volume 7, Issue 3

Structured Product Sales at Bank Branches: Networking- Arrangement Rules - Many broker-dealers engaged in the structured products industry are affiliates of large U.S. banks, which have a significant customer footprint....more

3/3/2016 - Broker-Dealer Corporate Communications FINRA High-Yield Markets Investors Recruitment Policies SEC Structured Financial Products

Structured Thoughts: News for the financial services community, Volume 7, Issue 2

Is There a Standard Form of Rule 144A Representation Letter? - My file of Rule 144A representation letters has been growing fatter, and I‘m not sure why. I would have hoped that by now there would be just one great...more

2/12/2016 - Banking Sector Broker-Dealer Corporate Issuers Disclosure Requirements ERISA Federal Reserve FINRA Institutional Investors IRS Market Basket Regulation S-K Representations and Warranties Rule 144A Rule 15a-6 SEC Structured Finance Structured Financial Products TLAC

Structured Thoughts: News for the financial services community, Volume 7, Issue 1

T+2 Settlement and Structured Notes - Introduction - In December 2015, the “T+2 Industry Steering Committee” published its Implementation Playbook. The Playbook is intended to provide, among other things, a...more

1/18/2016 - Equity Markets FINRA OCIE Regulatory Agenda SEC Structured Finance Structured Financial Products

Structured Thoughts: News for the financial services community, Volume 6, Issue 9

ESMA Final Report on Complex Debt Instruments and Structured Deposits - On 26 November 2015, the European Securities and Markets Authority (“ESMA”) published its Final Report on its “Guidelines on complex debt...more

12/15/2015 - Banking Sector Derivatives DOL EU EURIBOR European Securities and Markets Authority (ESMA) Exchange-Traded Products Fiduciary Duty FINRA MiFID II Regulatory Agenda SEC Structured Finance

Structured Thoughts: News for the financial services community, Volume 6, Issue 7

Structured Products Offerings and Research Reports: Introduction - Structured products are sold by broker-dealers, many of which are affiliates of large investment banks. The equity research group of the same...more

11/6/2015 - Binary Options Broker-Dealer Disclosure Requirements Equity Research Rule ETNs FINRA Global Systemically Important Financial Institutions (GSIFI) License Agreements Offerings Sanctions SEC Structured Financial Products Websites

Structured Thoughts: News for the financial services community, Volume 6, Issue 5

OCIE Issues Risk Alert Relating to Structured Note Sales - Earlier this year, the SEC’s Office of Compliance Inspections and Examinations (the “OCIE”) indicated branch offices and structured products as two of its...more

9/1/2015 - Broker-Dealer Compensation Standards Derivatives EDGAR Endangered Species Act (ESA) EU Financial Institutions FINRA Internal Communications IRS Loss Contingencies NASD OCIE Risk Alert Risk Management SEC Structured Finance Training UK Underwriting

Structured Thoughts: News for the financial services community, Volume 6, Issue 3

In This Issue: - The National Senior Investor Initiative - SEC Commissioner Addresses Structured Notes - The SEC Defines “Voting Equity Securities” Under the Rule 506(d) Bad Actor Disqualification...more

5/4/2015 - Elder Abuse Elder Issues Financial Institutions FINRA OCIE Rule 506(d) SEC Structured Financial Products

The SEC Defines “Voting Equity Securities” for Purposes of the Rule 506(d) Bad Actor Disqualification Rules

The SEC is continuing to tie up some loose ends left over from the adoption of the Rule 506(d) bad actor disqualification rules. Certainty regarding these open items will be beneficial for issuers and placement agents of...more

4/22/2015 - Disqualification Equity Securities Rule 506(d) SEC Shareholders

Structured Thoughts - Volume 6 , Issue 2 - March 2015

In This Issue: - FCA Publishes Thematic Review on Structured Product Development and Governance - EU Commission Review of Prospectus Directive - SEC Issues Investor Bulletin Relating to Structured Notes -...more

3/16/2015 - Canada EU European Commission False Claims Act (FCA) Financial Conduct Authority (FCA) FINRA Prospectus SEC Structured Financial Products Toronto Stock Exchange

Structured Thoughts: News for the financial services community, Volume 5, Issue 9

In This Issue: - What to Expect in 2015 - EU Regulatory Agenda: Into 2015 - FINRA Issues Report Relating to its Communication Rules - Structured Product Offerings and RIAs - The SEC, Investment Funds and...more

12/24/2014 - Banking Sector Banks Derivatives EU Financial Institutions Financial Regulatory Reform FINRA Investment Adviser Investment Funds SEC Structured Financial Products

Structured Thoughts: Volume 5, Issue 8 - December 2014

In This Issue: - Key Regulators Speak at Structured Products Conference - FINRA Shows Its CARDS; It Will Use Big Data to Review Suitability of Complex Products Sales - FINRA’s Proposed Bond Mark-up...more

12/2/2014 - Advertising Big Data Broker-Dealer CARDS Disclosure Requirements Exchange-Traded Products FINRA Regulatory Agenda Regulatory Standards SEC Structured Financial Products

Structured Thoughts: Volume 5, Issue 7 - November 11, 2014

In This Issue: - Index Changes and Successor Indices: Avoiding Delisting From The NYSE Arca - EU PRIIPS Regulation Expected to Come Into Force - UK Review of the Fixed Income, Currency and Commodities...more

11/12/2014 - ETNs EU Financial Regulatory Reform FINRA NYSE SEC Structured Financial Products UK

Accredited Investor Definition Update

The SEC’s Investor Advisory Committee recommended on Thursday that the definition of “accredited investor” in Rule 501(a) under the Securities Act undergo some significant changes. The Committee was established pursuant to...more

10/13/2014 - Accredited Investors Compliance Dodd-Frank Investors SEC

Weeding Out Bad Actors: The Rule 506 Bad Actor Provisions and Capital Markets Practice – One Year Later

As we approach the anniversary of the effectiveness of the Rule 506 bad actor provisions (if you don’t happen to have it marked on your calendar, the new rules went into effect on September 23, 2013), it is a good time to...more

9/18/2014 - Bad Actors Brokers C&DIs Chief Compliance Officers Rule 506 Offerings Rule 506(d) SEC

Structured Thoughts: Volume 5, Issue 4 - May 30, 2014

In This Issue: - No More KIDding Around: European Parliament Approves PRIIPs Regulation - FINRA Amends Rule 5110 to Exempt Certain Collective Investment Vehicles from Its Filing Requirements - The Time for the...more

7/15/2014 - Compliance EU Financial Regulatory Reform FINRA Foreign Investment Investors SEC

Structured Thoughts: Volume 5, Issue 5 - June 25, 2014

In This Issue: - The 1996 Morgan Stanley Letter: Re-imagined at the Age of 18 - Structured CDs – Goodbye Regulation DD, Hello Regulation DD - FCA Issues Fine in Relation to Structured Product...more

6/26/2014 - Banks Disclosure Requirements EDGAR European Securities and Markets Authority (ESMA) Financial Products IPO Morgan Stanley Public Disclosure Regulation D SEC Securities Truth in Savings Act

Structured Thoughts: Volume 5, Issue 3 - April 9, 2014

In This Issue: - The SEC Issues Its Long-Awaited Sweep Letter on ETNs - FINRA Proposes Amendments to Communication Rules – Relief from Filing for Certain FWPs - Comprehensive Surveillance Sharing Agreements -...more

4/10/2014 - Banks Broker-Dealer Compliance ETNs FINRA Foreign Banks Proposed Amendments SEC Surveillance

Considerations for Foreign Banks Financing in the United States - 2014 Update

Financial institutions, including foreign banks, regularly access the capital markets and seek to diversify their funding alternatives. Foreign banks may seek to access the US capital markets without subjecting themselves to...more

3/13/2014 - Banks Capital Markets Compliance Foreign Banks SEC

Structured Thoughts: Volume 5, Issue 2 - February 20, 2014

In This Issue: Opinions and Warnings – ESMA’s Views on Complex Products; SEC Releases Draft Strategic Plan; Distributing Structured Notes from a Regulation S Platform; and Non-U.S. Equity Underliers and Exchange Rate...more

2/21/2014 - Complex Financial Products Compliance EU European Securities and Markets Authority (ESMA) Financial Regulatory Reform SEC

Structured Thoughts: News for the financial services community, Volume 5, Issue 1 -- January 7, 2014

In This Issue: “Structured Products, Meet the Volcker Rule”: The New Limitations on Proprietary Trading; SEC and FINRA Personnel Speak at Structured Products Conference; FINRA’s Annual Regulatory and Examination...more

1/8/2014 - Banks Enforcement FINRA IOSCO Proprietary Trading SEC Structured Financial Products Volcker Rule

Structured Thoughts -- Volume 4, Issue 14 -- December 2, 2013

In This Issue: Launching an Exempt Structured Products Program in the United States: Issues for Non-U.S. Banks to Consider; “Big-Boy Letters” Revisited: Pharos Decision Upheld by the Sixth Circuit.; SEC Addresses...more

12/3/2013 - Banks Big-Boy Letters CPO Disclosure Requirements Dodd-Frank EMIR EU Fiduciary Duty FINRA Foreign Banks LinkedIn MiFID Misrepresentation Nasdaq OCC Regulation D Rule 144A SEC Securities Act of 1933

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