Jeremy C. Jennings-Mares

Jeremy C. Jennings-Mares

Morrison & Foerster LLP

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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 Services Industry FINRA OCIE Rule 506(d) SEC Structured Financial Products

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 FINRA Prospectus SEC Structured Financial Products Toronto Stock Exchange

Structured Thoughts - Volume 6 , Issue 1 - January 26 , 2015

In This Issue: - FINRA Releases 2015 Regulatory and Exam Priorities Letter: Structured Products Remain an Area of Focus - OCIE Exam Priorities: 2015 - In Re: TVIX Securities Litigation - Second...more

1/27/2015 - Basel III Credit Suisse ESMA Examination Priorities Exchange-Traded Products FINRA FSB G-SIB MiFID OCC OCIE Securities Securities Litigation 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

Structured Thoughts: Volume 5, Issue 6 - August 2014

In This Issue: - European Product Intervention - FINRA Speaks at 2014 Structured Retail Products Conference - FINRA Approves Amendments to Communication Rules – Relief from Filing for Certain...more

8/13/2014 - Class Action ESMA EU FINRA Investment Funds MiFID Retailers Structured Financial Products

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: 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

Structured Thoughts -- Volume 4, Issue 9 -- June 17, 2013

In This Issue: UK’s FCA Restricts Marketing of Unregulated Collective Investment Schemes and Similar Products to Retail Investors; Electronic Structured Note Systems and U.S. Securities Regulation; and Reminders from...more

6/18/2013 - Brokers False Claims Act Financial Conduct Authority Financial Services Authority FINRA Investors SEC Structured Financial Products Term Sheets UCITS

Structured Thoughts -- Volume 4, Issue 5 -- April 12, 2013

In This Issue: FINRA’s 2013 Communication Rules and Revisions to MSDAs; Regulation R and Bank Sales of Structured Products; FCA Temporary Product; and Intervention Rules: Nipping It in the Bud. Excerpt from...more

4/15/2013 - Broker-Dealer Distribution Rules Financial Conduct Authority FINRA FSMA Gramm-Leach-Blilely Act Public Communications Structured Financial Products

Structured Thoughts -- Volume 3, Issue 14 -- December 18, 2012

In This Issue: Dividend Adjustments on the Way; Federal Court Decision Supports Use of “Big-Boy Letters”; FINRA Updates Its Suitability Questions and Answers; FINRA Rule 5123 Excludes Some, But Not All, Options;...more

12/19/2012 - Big-Boy Letters Commodity Pool Dividends ETFs FINRA Fiscal Cliff

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