Morrison & Foerster LLP - Structured Products

Structured Thoughts: News for the financial services community, Volume 7, Issue 11

Structured Products Legal and Regulatory Conference: November 2016 - In November 2016, Morrison & Foerster LLP sponsored Risk magazine’s annual structured products legal and regulatory conference in Washington, D.C. …more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, Labor & Employment Law, Securities Law

Structured Thoughts: News for the financial services community, Volume 7, Issue 10

FINRA Revises its Proposed Amendments to Rule 2210 - In our recent Client Alert, we wrote about the Financial Industry Regulatory Authority, Inc.’s proposed changes to Rule 2210, Communications with the Public. One of the…more
| Administrative Law, Business Organizations, Commercial Law & Contracts, Finance & Banking, Securities Law

Structured Thoughts: News for the financial services community, Volume 7, Issue 9

Updating Unregistered Structured Note Programs: How Frequently? - For some types of securities offering programs, we have “black letter law” that instructs issuers how frequently the program documentation should be updated…more
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law, Taxation

Structured Thoughts: News for the financial services community, Volume 7, Issue 8

Brexit and Structured Products: A Framework for Considering Disclosures - The U.K.’s recent referendum to withdraw from the European Union has affected virtually all segments of the financial industry. The structured…more
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Labor & Employment Law, Securities Law

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

Financing Subsidiaries and SEC Registration - As readers of this publication know, in order to address the expected new U.S. regulatory capital requirements, a number of U.S. bank holding companies have been creating new…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

Structured Thoughts: News for the financial services community, Volume 7, Issue 6

Structured Notes Offered on an Agency Basis - In our last issue, we discussed the potential impact of the Department of Labor’s new rules on sales of structured products. In that article, we discussed some of the reasons…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, Labor & Employment Law, Securities Law

Structured Thoughts: News for the financial services community, Special Issue: Implications of the DOL Fiduciary Rule for Structured Products

On April 6, 2016, the Department of Labor (“DOL”) issued its final conflict of interest regulations, which significantly expand who is considered a fiduciary when dealing with a retirement account. The new regulations, together…more
| Finance & Banking, Labor & Employment Law, Securities Law

Structured Thoughts: News for the financial services community, Volume 7, Issue 5

Electronic Structured Product Systems and FINRA’s Robo-Advisor Report - In a prior issue of this publication, we wrote about electronic structured note issuance platforms, and how these might be affected by U.S. securities…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

Structured Thoughts: News for the financial services community, Volume 7, Issue 4

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

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

Structured Thoughts: News for the financial services community, Volume 7, Issue 2

Is There a Standard Form of Rule 144A Representation Letter? - My file of Rule 144A representation letters has been growing fatter, and I‘m not sure why. I would have hoped that by now there would be just one great…more
| Business Organizations, Finance & Banking, International Law & Trade, Securities Law, Taxation

Structured Thoughts: News for the financial services community, Volume 7, Issue 1

T+2 Settlement and Structured Notes - Introduction - In December 2015, the “T+2 Industry Steering Committee” published its Implementation Playbook. The Playbook is intended to provide, among other things, a timeline…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, Securities Law

Structured Thoughts: News for the financial services community, Volume 6, Issue 9

ESMA Final Report on Complex Debt Instruments and Structured Deposits - On 26 November 2015, the European Securities and Markets Authority (“ESMA”) published its Final Report on its “Guidelines on complex debt instruments…more
| Business Organizations, Finance & Banking, Securities Law

Structured Thoughts: News for the financial services community, Volume 6, Issue 8

Structured Notes and Issuer Quiet Periods Background - Most issuers establish a “quiet period” (also called a “blackout” period) prior to the release of potentially sensitive information and material non-public information,…more
| Finance & Banking, International Law & Trade, Securities Law

Structured Thoughts: News for the financial services community, Volume 6, Issue 7

Structured Products Offerings and Research Reports: Introduction - Structured products are sold by broker-dealers, many of which are affiliates of large investment banks. The equity research group of the same…more
| Commercial Law & Contracts, Communications & Media Law, Finance & Banking, Securities Law
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