Morrison & Foerster LLP - Broker-Dealer Compliance + Regulation

Contact
Share
Info
Firm Profile: Morrison & Foerster LLP
1290 Avenue of the Americas
New York, NY 10104-0050, United States
Phone: (212) 468-8000
Fax: (212) 468-7900
Areas of Practice
  • Finance & Banking
  • Litigation
  • Securities Law
Locations
Other U.S. Locations
  • California
  • Colorado
  • D.C.
  • New York
  • Virginia
Other Countries
  • Belgium
  • China
  • Hong Kong
  • Japan
  • United Kingdom
Number of Attorneys
1,000+ Attorneys

Division of Investment Management Eases Compliance Deadline for New ADV Filing Requirement

Currently pending amendments to Form ADV have a compliance date of October 1, 2017 and, as of that date, an adviser filing an initial Form ADV or an amendment to an existing Form ADV must use the revised Form ADV. In an August…more
 /  Business Organizations, Finance & Banking, Securities Law

FAQs about Liability of Public Companies and Companies in Registration for Website and Social Media Content

Understanding a Company’s Potential Liability under the Securities Laws for Website Content - These FAQs address the ways in which company websites and social media platforms can give rise to securities law liability, and…more
 /  Business Torts, Communications & Media Law, Science, Computers, & Technology, Securities Law

FAQs about the FINRA Communication Rules

Understanding Financial Industry Regulatory Authority, Inc. Rule 2210, Communications with the Public - What is Rule 2210, and what does it require? - Rule 2210 governs three categories of “communications” by FINRA member…more
 /  Business Organizations, Communications & Media Law, Finance & Banking, Science, Computers, & Technology, Securities Law

The Guide to Social Media and the Securities Laws

The growing use of social media has created challenges for federal securities regulators, who must enforce antifraud rules that were written at a time when the prevailing technology was the newspaper. This Guide provides…more
 /  Business Organizations, Commercial Law & Contracts, Communications & Media Law, Finance & Banking, Securities Law

Does a Proposal for Further Delay in Implementation of the DOL Fiduciary Rule Suggest Major Changes Are Coming?

On August 9, 2017, the U.S. Department of Labor (DOL) submitted to the Office of Management and Budget (OMB) a proposal to delay until July 1, 2019 the implementation date for those portions of the DOL’s fiduciary rule that are…more
 /  Commercial Law & Contracts, Finance & Banking, Labor & Employment Law

Eighth Circuit Says No Standing for Fund of Funds’ Shareholders Under Section 36(b)

On July 24, 2017, the U.S. Court of Appeals for the Eighth Circuit affirmed a district court ruling that a shareholder of a fund of funds lacks standing under Section 36(b) of the Investment Company Act of 1940, as amended (the…more
 /  Business Organizations, Finance & Banking, Securities Law

FINRA Publishes “Frequently Asked Questions” on New Pricing Disclosure Rules for Securities Confirmations

On July 12, 2017, FINRA issued guidance on its recent amendments to Rule 2232. The new requirements, which are scheduled to take effect on May 14, 2018, apply to transactions with retail (and not institutional, as defined in…more
 /  Finance & Banking, Securities Law

DOL Issues Request for Information Regarding Fiduciary Rule

On June 29, 2017, the Department of Labor (“DOL”) issued a Request for Information (“RFI”) in connection with its examination of the Final Fiduciary Rule, which was published on April 8, 2016, and became applicable on June 9,…more
 /  Commercial Law & Contracts, Elections & Politics, Labor & Employment Law

FINRA Permits Related Performance Information in Institutional Communications for Registered Closed-End Funds

Introduction In an interpretive guidance letter issued to a registered closed-end fund on June 9, 2017, FINRA permitted the use of “related performance information” in communications that are distributed solely to institutional…more
 /  Business Organizations, Communications & Media Law, Finance & Banking, Securities Law

Attention Retail Investors: The SEC Wants to Hear Your Views on the DOL’s Fiduciary Rule

In connection with the Department of Labor’s (“DOL”) fiduciary rule (the “Fiduciary Rule”), key provisions of which became applicable on June 9, 2017, SEC Chair Jay Clayton issued a public statement seeking retail investors’…more
 /  Business Organizations, Finance & Banking, Labor & Employment Law, Securities Law

Implementation of the DOL Fiduciary Rule, a Cheat Sheet

Implementation Date - The first phase of the DOL’s fiduciary rule is scheduled to be implemented on June 9, 2017. Please see full Cheat Sheet below for more information…more
 /  Commercial Law & Contracts, Labor & Employment Law

Implementing the DOL Fiduciary Rule

Background - On June 9, 2017, key provisions of the fiduciary rule adopted by the Department of Labor (DOL) will become applicable for most broker-dealers, as well as many bankers, insurance agents, and others who make…more
 /  Elections & Politics, Finance & Banking, Labor & Employment Law

FINRA T+2 Rules Are Approved

In May 2017, in Regulatory Notice 17-19, FINRA announced the SEC approval of a variety of its proposed rule amendments relating to the upcoming move of the U.S. securities markets to the T+2 settlement cycle…more
 /  Business Organizations, Finance & Banking, Securities Law

FINRA Retrospective Rule Review: Outside Business Activities and Private Securities Transactions

The Financial Industry Regulatory Authority (“FINRA”) is conducting a retrospective review of the rules that govern outside business activities and private securities transactions to assess their effectiveness and efficiency. …more
 /  Business Organizations, Finance & Banking, Securities Law

Presidential Actions on Regulatory Rollback: The Order of the Orders

Since his inauguration on January 20, 2017, President Trump has issued a number of presidential orders and memoranda relating to the reduction of regulation…more
 /  Administrative Law, Elections & Politics, Labor & Employment Law, Taxation
Showing 1-15 of 234 Results
/
View per page
Page: of 16
This profile may constitute attorney advertising. Prior results do not guarantee a similar outcome. Any correspondence with this profile holder does not constitute a client/attorney relationship. Neither the content on this profile nor transmissions between you and the profile holder through this profile are intended to provide legal or other advice or to create an attorney-client relationship.

"My best business intelligence,
in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up using*

Already signed up? Log in here

*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
*With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name. Or, sign up using your email address.