Richard F. Morris

Richard F. Morris

Morgan Lewis

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Latest Posts › Compliance


SEC Warns About Exemptive Order Compliance

Division of Investment Management's guidance reminds firms to comply with conditions and representations in exemptive orders and notes that consequences for noncompliance may be "severe."...more

5/20/2013 - Compliance ETFs Exemptive Orders OCIE OIG SEC

FINRA Formalizes Position on Pre-Inception Index Performance Data

Interpretive letter outlines the conditions for the use of exchange-traded product marketing materials containing pre-inception index performance, including disclosure requirements, performance presentation standards, and a...more

4/26/2013 - Compliance Disclosure Requirements Exchange-Traded Products FINRA Institutional Investment

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