Jennifer Morton

Jennifer Morton

Shearman & Sterling LLP

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The Changing Fiduciary Duty Landscape in a Trump Presidency

The fiduciary standards for institutions and individuals providing investment advice throughout the retail investment and municipal securities markets are currently undergoing significant change. Following on the heels of the...more

11/15/2016 - Broker-Dealer DOL Donald Trump ERISA Fiduciary Rule Investment Adviser IRA Municipal Advisers

Financial Regulatory Developments Focus - September 2016

In this newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset managers and...more

9/30/2016 - Asset Management Banking Regulators Banking Sector Banks Broker-Dealer EU Financial Crimes Financial Sector Financial Services Industry FinTech Global Market Investment Firms MiFID

FINRA Capital Acquisition Broker Proposal Approved - Broker-Dealers Conducting Only Certain Private Fund Placement Services or...

In August 2016, the SEC approved FINRA’s proposal to permit firms conducting only enumerated corporate financing activities (“capital acquisition brokers” or “CABs”) to operate under a more limited FINRA rule set, a move...more

9/20/2016 - Broker-Dealer Capital Acquisition Broker (CAB) FINRA Private Placements

FINRA Proposes Revisions to Gifts, Gratuities and Non-Cash Compensation Rules

On August 5, 2016, FINRA in Regulatory-Notice 16–29 proposed revisions to its regulation of broker-dealer gifts, entertainment and non-cash compensation (the “proposal”) and requested comment to the same. The comment period...more

8/17/2016 - Broker-Dealer Comment Period FINRA Meals-Gifts-and Entertainment Rules Proposed Regulation

Financial Regulatory Developments Focus - September 2015 #5

In this week's newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

10/1/2015 - Banking Sector BitLicense Broker-Dealer Capital Requirements Cybersecurity EU European Banking Authority European Securities and Markets Authority (ESMA) Investment Funds Regulatory Standards SEC Supervision Virtual Currency

Financial Regulatory Developments Focus - August 2015 #4

In this week's newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

8/26/2015 - Administrative Appointments Banking Sector Broker-Dealer Citigroup Derivatives EU European Commission Financial Institutions Financial Markets Fraud Hedge Funds Investment Adviser Leverage Ratio Payment Systems Prudential Regulation Authority SEC Securities Fraud

Financial Regulatory Developments Focus - July 2015 #4

In this week's newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

7/21/2015 - Asset Management Banking Sector Broker-Dealer Capital Requirements EU Financial Institutions G-SIB Investment Firms Regulatory Agencies Regulatory Agenda Ring-Fencing Stress Tests Volcker Rule

Financial Regulatory Developments Focus - July 2015 #3

In this issue: - US Federal Deposit Insurance Corporation Issues Notice of Proposed Rulemaking to Revise How Small Banks are Assessed for Deposit Insurance - UK Prudential Regulation Authority Consults on...more

7/16/2015 - Asset Management Banking Sector Broker-Dealer Corporate Governance Credit Ratings Cybersecurity EU Financial Institutions Global Market Prudential Regulation Authority Prudential Standards Regulatory Agenda UK

Financial Regulatory Developments Focus - February 2015 #4

In this issue: - US Banking Regulators Request Comments on Reducing Regulatory Burden - European Banking Authority Opinion on Definition of Eligible Capital - Implementing Technical Standards under CRR...more

2/25/2015 - Asset Management Banks Broker-Dealer Brokers Derivatives EU European Banking Authority FDIC Financial Institutions Futures Investment Adviser Liquidity Coverage Ratio UK

Financial Regulatory Developments Focus - November 2014 #2

In this issue: - Bank Prudential Regulation & Regulatory Capital - Compensation - Consumer Protection - Derivatives - Enforcement - Financial Services - Funds -...more

11/12/2014 - Broker-Dealer Capital Markets Compliance Derivatives Dodd-Frank Enforcement Enforcement Actions EU FDIC Federal Reserve Financial Regulatory Reform FSB G-SIB OCC Prudential Regulation Authority SEC

Financial Regulatory Developments Focus - March 18, 2014

In this issue: - Derivatives - Compensation - Regulatory Capital - Financial Market Infrastructure - Financial Services - Consumer Protection - Enforcement - People - Events -...more

3/19/2014 - Asset Management Banks Broker-Dealer Derivatives EU Financial Regulatory Reform Investment Funds OTC

SEC Offers Relief to M&A Brokers

The Office of the Chief Counsel of the Division of Trading and Markets of the Securities and Exchange Commission recently issued an important “No-Action” Letter providing regulatory relief for participants in certain mergers...more

2/24/2014 - Broker-Dealer No-Action Letters SEC

FINRA Proposes Amendment to Corporate Financing Rule and Conflict of Interest Rule

FINRA Rule 5110, the corporate financing rule, regulates the terms and arrangements of securities underwriting conducted by FINRA member broker-dealers, which covers virtually all of the US securities industry. FINRA has...more

2/14/2014 - Broker-Dealer Conflicts of Interest Corporate Financing Rule FINRA

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