Morrison & Foerster LLP - Structured Products

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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
  • 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

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

Sales of VIX-Linked ETPs – Back to Basics for FINRA - FINRA used a misselling case to remind member firms of certain fundamentals, including the importance of implementing a new product approval process, reasonable diligence…more
 /  Business Organizations, Consumer Protection, Finance & Banking, Privacy, Securities Law

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

LIBOR: The End Game - Since the announcement on July 27, 2017 by the UK Financial Conduct Authority (the FCA) that the LIBOR rate would be phased out after 2021, much has been written about the complications of switching over…more
 /  Business Organizations, Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

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

Canadian Bail-in and TLAC Rules: Impact on Structured Notes Offered in the United States - Introduction - In June 2017, the Canadian government released draft regulations relating to “bail-in instruments” issued by…more
 /  Business Organizations, Commercial Law & Contracts, Finance & Banking, International Law & Trade, Labor & Employment Law

Structured Thoughts: News for the financial services community, Volume 8, Issue 5

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,…more
 /  Business Organizations, Finance & Banking, Labor & Employment Law, Securities Law, Taxation

Structured Thoughts: News for the financial services community, Volume 8, Issue 4

FINRA’s Proposed Amendments to the Corporate Financing Rules – Impact on Structured Notes - In April 2017, FINRA released a set of significant proposed amendments to its Rule 5110, known as the “Corporate Financing Rule.” …more
 /  Business Organizations, Communications & Media Law, Finance & Banking, Securities Law

Structured Thoughts: News for the financial services community, Volume 8, Issue 3

SEC Rolls Out “POSITIER” - The SEC’s Office of the Investor Advocate used a recent March 9, 2017 open meeting and related “Evidence Summit” to announce its new investor research initiative, “POSITIER.”1 This new acronym…more
 /  Business Organizations, Commercial Law & Contracts, Finance & Banking, International Law & Trade, 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

Structured Thoughts: News for the financial services community, Volume 8, Issue 1

U.S. Court of Appeals Upholds SEC’s Backtesting Finding - In a 2016 case before the U.S. Court of Appeals for the D.C. Circuit, a former investment adviser lost a petition to review and vacate the decision of an SEC…more
 /  Business Organizations, Commercial Law & Contracts, Finance & Banking, Labor & Employment Law, Securities Law

Structured Thoughts: News for the financial services community - Special Issue

Final TLAC Rules and Structured Products - On December 15, 2016, the Board of Governors of the Federal Reserve System (the “Federal Reserve”) issued its final rules regarding long-term debt and total loss absorbing…more
 /  Business Organizations, Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

Structured Thoughts: News for the financial services community, Volume 7, Issue 12

FDIC Adopts New Recordkeeping Requirements for Large Banks – Modifies Original Proposal as to Brokered CDs - In November 2016, the FDIC approved a final rule establishing recordkeeping requirements for insured institutions…more
 /  Finance & Banking, International Law & Trade, Labor & Employment Law, Securities Law, Taxation

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
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