Lloyd S. Harmetz

Lloyd S. Harmetz

Morrison & Foerster LLP

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FINRA Reports on Robo-Advisors

In response to the emerging growth and use of so-called “robo-advisors,” including coverage in the media, FINRA released a report in March 2016 relating to these digital investment tools. ...more

3/29/2016 - Broker-Dealer FINRA Investors Robocalling

Structured Thoughts: News for the financial services community, Volume 7, Issue 3

Structured Product Sales at Bank Branches: Networking- Arrangement Rules - Many broker-dealers engaged in the structured products industry are affiliates of large U.S. banks, which have a significant customer footprint....more

3/3/2016 - Broker-Dealer Corporate Communications FINRA High-Yield Markets Investors Recruitment Policies SEC Structured Financial Products

SEC Issues Investor Alert on Crowdfunding

With the May 2016 effective date of the new crowdfunding rules approaching, the SEC is attempting to help prepare the market. On February 16, 2016, the SEC’s Office of Investor Education and Advocacy issued an investor...more

2/18/2016 - Crowdfunding Early Stage Companies Fraud Investors Offerings SEC

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 -- Volume 4, Issue 10 -- July 9, 2013

In This Issue: - Chasing Return, Reprise - IOSCO: Uniform Regulation and More Transparency for ETFs - FINRA Removes Proposal to Require Supervision of Non-Securities Business - In Case You Missed It -...more

7/10/2013 - FINRA Foreign Investment Interest Rates Investors IOSCO Structured Financial Products

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 (FCA) Financial Conduct Authority (FCA) Financial Services Authority FINRA Investors SEC Structured Financial Products Term Sheets UCITS

Structured Thoughts -- Volume 4, Issue 3 -- February 6, 2013

In This Issue: Reverse Inquiry Transactions in the Spotlight; How Will the Fed’s Proposed Foreign Bank Rules Affect Foreign Bank Debt Financing Activities in the U.S.?; IOSCO Commences Consultation on Benchmarks; and...more

2/7/2013 - Benchmarks FINRA Foreign Banks Investors IOSCO Regulation T SEC Structured Financial Products

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