Morrison & Foerster LLP - Structured Products

1290 Avenue of the Americas  New York, NY 10104-0050, United States

  • (212) 468-8000
  • (212) 468-7900

Structured Thoughts: Volume 5, Issue 3 - April 9, 2014

In This Issue: - The SEC Issues Its Long-Awaited Sweep Letter on ETNs - FINRA Proposes Amendments to Communication Rules – Relief from Filing for Certain FWPs - Comprehensive Surveillance Sharing Agreements -…more
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

Structured Thoughts: Volume 5, Issue 2 - February 20, 2014

In This Issue: Opinions and Warnings – ESMA’s Views on Complex Products; SEC Releases Draft Strategic Plan; Distributing Structured Notes from a Regulation S Platform; and Non-U.S. Equity Underliers and Exchange Rate…more
| Finance & Banking, International Law & Trade, Securities Law

Structured Thoughts: News for the financial services community, Volume 5, Issue 1 -- January 7, 2014

In This Issue: “Structured Products, Meet the Volcker Rule”: The New Limitations on Proprietary Trading; SEC and FINRA Personnel Speak at Structured Products Conference; FINRA’s Annual Regulatory and Examination…more
| Finance & Banking, International Law & Trade, Securities Law

Structured Thoughts -- Volume 4, Issue 14 -- December 2, 2013

In This Issue: Launching an Exempt Structured Products Program in the United States: Issues for Non-U.S. Banks to Consider; “Big-Boy Letters” Revisited: Pharos Decision Upheld by the Sixth Circuit.; SEC Addresses…more
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

Structured Thoughts -- Volume 4, Issue 13 -- October 15, 2013

In This Issue: FINRA’s Report on Conflicts of Interest: Issues for the Structured Products Market and Structured Notes, Their Hedges, and Dodd-Frank Excerpt from FINRA’s Report on Conflicts of Interest: Issues for…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

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 Elders,…more
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

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
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

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 the…more
| Commercial Law & Contracts, Communications & Media Law, Finance & Banking, International Law & Trade, Securities Law

Structured Thoughts -- Volume 4, Issue 8 -- May 15, 2013

In This Issue: Due Diligence Procedures for Structured Note Distributors; Key Issues for Yankee CDs; The SEC and FINRA: Protect Your Elders; The FSOC’s 2013 Annual Report: Increasing Exchange-Traded Product Activity; and…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

Structured Thoughts -- Volume 4, Issue 6 -- April 26, 2013

In This Issue: FINRA Issues Guidance on Backtested Performance Data; FINRA’s Ketchum Discusses Structured Products; and Update Regarding TRACE and Rule 144A Securities. Excerpt from FINRA Issues Guidance on…more
| Finance & Banking, Securities Law

Structured Thoughts -- Volume 4, Issue 5 -- April 12, 2013

In This Issue: FINRA’s 2013 Communication Rules and Revisions to MSDAs; Regulation R and Bank Sales of Structured Products; FCA Temporary Product; and Intervention Rules: Nipping It in the Bud. Excerpt from FINRA’s…more
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

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
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

Keep it simple - Supervisors have taken an increasing interest in structured products recently. But regulating complexity isn’t easy

Originally published in International Financial Law Review on February 5th, 2013. Structured products have come under considerably greater regulatory scrutiny in recent years. In the US, regulators have become increasingly…more
| Finance & Banking, International Law & Trade, Securities Law
Areas of Practice
  • Finance & Banking
  • Securities Law
  • Taxation
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

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.