Lloyd S. Harmetz

Lloyd S. Harmetz

Morrison & Foerster LLP

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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 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

Structured Thoughts -- Volume 4, Issue 8 -- May 15, 2013

In This Issue: Due Diligence Procedures for Structured Note Distributors; Key Issues for Yankee CDs; The SEC and FINRA: Protect Your Elders; The FSOC’s 2013 Annual Report: Increasing Exchange-Traded Product Activity;...more

5/16/2013 - Broker-Dealer Due Diligence Elder Issues FINRA FSOC SEC Structured Financial Products

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

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