Lloyd S. Harmetz

Lloyd S. Harmetz

Morrison & Foerster LLP

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Structured Thoughts -- Volume 4, Issue 11 -- August 12, 2013

In This Issue: Complex Products and Conducting a Reasonable Basis Suitability Review; Guidelines for Presenting Backtested Performance Data; IOSCO Final Report on Principles for Financial Benchmarks; Protect Your...more

8/13/2013 - Disclosure Requirements EU Executive Compensation FINRA IOSCO Reporting Requirements Retail Market

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

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