Morrison & Foerster LLP

Examination Priorities for 2017 from FINRA and OCIE

In these uncertain times, the predictability and regularity of the annual priorities letters from FINRA and the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) is…more
| Business Organizations, Finance & Banking, Privacy, Science, Computers, & Technology, Securities Law

Structured Thoughts: News for the financial services community, Volume 8, Issue 2

Identifying Conflicts of Interest in Structured Products Offerings - With FINRA and other regulators focused on conflicts of interest in the broker-dealer industry, market participants are working diligently to identify and…more
| Business Organizations, Commercial Law & Contracts, Communications & Media Law, Finance & Banking, Securities Law

Repeal of Resource Extraction Disclosure Rule

On February 14, 2017, President Trump approved Congress’ joint resolution to repeal the SEC’s resource extraction disclosure rule. That action effectively brings to a conclusion the SEC’s efforts to implement a resource…more
| Business Organizations, Elections & Politics, Energy & Utilities, Securities Law

D.C. Circuit Grants En Banc Review on the Constitutionality of the CFPB Leadership Structure

CFPB Director Richard Cordray has a little more job security this week than last week. On February 16, 2017, the U.S. Court of Appeals for the District of Columbia granted the CFPB’s request for an en banc review of its October…more
| Constitutional Law, Consumer Protection, Finance & Banking, Labor & Employment Law

US Chamber of Commerce on Capital Formation and Disclosure Requirements

In a recent letter, the Chamber commented to the SEC’s Advisory Committee on Small and Emerging Companies about the Committee’s consideration of the factors affecting the trend of companies remaining private and deferring their…more
| Business Organizations, Finance & Banking, Securities Law

IRRC Institute and ISS Issue Joint Study on Board Refreshment Trends

The Investor Responsibility Research Center (IRRC) Institute and Institutional Shareholders Services (ISS) recently issued a joint study titled “Board Refreshment Trends at S&P 1500 Firms,” which analyzes demographic trends from…more
| Business Organizations

One Step Forward, Two Steps Back?

Market participants who are not enamored by the current state of federal securities regulation may have been heartened by the new administration’s January 30, 2017 “two for one” order. The order contemplated that, for each new…more
| Business Organizations, Elections & Politics, Finance & Banking, Securities Law

CFPB Evaluates Use of Alternative Data and Modeling Techniques in the Consumer Lending Credit Process

On February 16, 2017, the Consumer Financial Protection Bureau (CFPB or Bureau) issued a Request for Information (RFI) regarding use of alternative data and modeling techniques in the consumer lending “credit process.” The CFPB…more
| Consumer Protection, Finance & Banking, Science, Computers, & Technology

Expanding Duties and Eroding Protections for Medical Device Manufacturers

Earlier this month, the Washington Supreme Court saddled medical device manufacturers with a new duty to warn under Washington law—the duty to warn hospitals about potential risks their products may pose—and eroded exemptions…more
| Health, Products Liability, Science, Computers, & Technology

Why are more companies staying private?

Because they can…. This was the conclusion of the discussion at the SEC Advisory Committee on Small and Emerging Companies earlier in the week. The Committee discussed statistics relating to the number of companies that are…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, Securities Law

Uncertain Times

President Donald Trump may have his sights set on deregulation but a full repeal of title VII looks unlikely - One might think that the stated intention of US president-elect Donald Trump and Republicans in the US Congress…more
| Commercial Law & Contracts, Elections & Politics, Finance & Banking, International Law & Trade, Securities Law

SEC 2017 Exam Priorities: Key Takeaways

Amid the extensive list of exam priorities for this year, there are several highlights that will require attention from operations personnel - Far from the White House and the halls of Congress, compliance officers are…more
| Elections & Politics, Finance & Banking, Securities Law

The Bayh-Dole Act

The Bayh-Dole Act allocates rights for intellectual property developed with federal funds between contractors or grant recipients and the government. This infographic provides an overview of the Bayh-Dole Act, the steps that…more
| Government Contracting, Intellectual Property

The Future of Investment Management Regulation: What to Expect in 2017

In this fast-changing regulatory environment, the long-term consequences – both intended and unintended – of recent White House actions remain uncertain, but looking into our crystal ball, we see certain trends emerging. These…more
| Business Organizations, Elections & Politics, Finance & Banking, Labor & Employment Law, Securities Law

Investor Advisory Committee Meeting Agenda Announced

The SEC’s Investor Advisory Committee will hold a public meeting on March 9, 2017, from 9:00 a.m. to 11:55 a.m. The meeting’s agenda includes a discussion regarding SEC investor research initiatives, the FINRA 2016 Financial…more
| Finance & Banking, Securities Law
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