Lloyd S. Harmetz

Lloyd S. Harmetz

Morrison & Foerster LLP

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SEC Approves Amendments to FINRA’s Corporate Financing Rule

Broader Availability of Termination Fees and Rights of First Refusal - Elimination of Filing for Certain ETFs: In May 2014, the SEC approved FINRA’s proposed amendments to Rule 5110, commonly called the...more

5/21/2014 - Compliance Corporate Financing Corporate Financing Rule ETFs FINRA SEC

Structured Thoughts -- Volume 4, Issue 1 -- January 16, 2013

In This Issue: Additional SEC Guidance on Estimated Value Disclosures; FINRA to Continue Its Focus on Structured Products; FINRA’s Ketchum Discusses Structured Products; FINRA Issues Q&A Guidance on New Communications...more

1/17/2013 - Estimated Value Disclosures ETFs ETNs Executive Compensation FINRA Prospectus SEC

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 GFMA

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