Searching Content indexed under Commodities/Derivatives/Stock Exchanges by Morrison & Foerster LLP ordered by Published Date Descending.
Links to Result pages
1 2 3 4 5 6 7 8 9  
Structured Thoughts: News for the Financial Services Community, Volume 10, Issue 4
On June 21, 2019, the Securities and Exchange Commission ("SEC") released its final rules (the "Final Rules") stating margin requirements for security-based
United States
30 Jul 2019
Top 10 International Anti-Corruption Developments For March 2019
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important international anti-corruption developments from the past month,
United States
8 May 2019
CFTC And UK Regulators Issue Statement Regarding Continuity Of Derivatives Trading And Clearing Post-Brexit
On February 25, 2019, the US Commodity Futures Trading Commission (CFTC) and the Bank of England, including the Prudential Regulation Authority (BoE), and the UK's Financial Conduct Authority (FCA)
7 Mar 2019
Agencies Propose Simplification Of Capital Rules For Community Banks
On November 21, 2018, the federal banking agencies issued a proposal to simplify the regulatory capital requirements for qualifying community banking organizations, generally those with less than $10 billion in assets.
United States
6 Dec 2018
JOBS Act Quick Start
A brief overview of the JOBS Act 2018 Update
United States
6 Nov 2018
CFTC Amends Chief Compliance Officer Duties And Annual Report Requirements
On August 27, 2018, the CFTC published final rules in the Federal Register amending its regulations regarding duties of CCOs of SD, MSPs and FCMsand requirements for preparing, certifying and furnishing to the CFTC...
United States
10 Sep 2018
Transitioning Away From The IBORs: ISDA Publishes Consultation Seeking Feedback On Adjustments Of Risk-Free Rates
In a move that coincided with statements by regulators on both sides of the Atlantic that interbank offered rates (each an "IBOR") will in time be discontinued, on July 12, 2018 ...
United States
26 Jul 2018
New Exemptive Rule Could Lower Barriers To Entry For New ETFs
At an open meeting held June 28, 2018, the SEC voted unanimously to propose a new rule codifying exemptions to certain rules under the Investment Company Act.
United States
20 Jul 2018
CFTC Staff Issues Interpretation Regarding Position Limits Aggregation By Passive Investors In Commodity Pools
On May 2, 2018, staff of the Division of Market Oversight of the Commodity Futures Trading Commission issued an interpretation regarding CFTC Reg. 150.4(b)(1), 17 CFR 150.4(b)(1), which provides an exemption ...
United States
21 May 2018
OCIE Announces Its 2018 Examination Priorities
The SEC's Office of Compliance Inspections and Examinations (OCIE) has published its 2018 examination priorities.
United States
9 Feb 2018
Senate Considers Legislation That Would Loosen BDC Restrictions
In particular, the Act would decrease the asset coverage requirement applicable to BDCs from 200% to 150%.
United States
9 Feb 2018
Nasdaq Proposal To Amend Shareholder Vote Rule
As we have previously discussed on our blog, the securities exchanges impose shareholder vote requirements in connection with certain financing transactions.
United States
8 Feb 2018
Private Placement Exemptions – Rule 506
NASDAQ Private Markets and Morrison & Foerster recently reviewed Rule 506.
United States
10 Nov 2017
CFTC Order Extends Application Of Current De Minimis Threshold Until December 2019
Last week the CFTC issued an order that pushes back by one year the date on which the CFTC may lower its swap dealer de minimis threshold, the amount of swap dealing activity in a 12-month period ...
United States
9 Nov 2017
The Treasury Report's Recommendations For Derivatives Regulation
The Report notes market participants' view that the scope of the financial end users that are subject to margin requirements is far wider under the U.S. rules than in non-U.S. jurisdictions.
United States
6 Nov 2017
Private Placement Exemptions – Section 4(A)(2) And Rule 506
NASDAQ Private Markets and Morrison & Foerster recently discussed Section 4(a)(2), the statutory private placement exemption...
United States
3 Nov 2017
SEC Staff Solves Section 28(E)-MiFID II Compliance Conundrum—For Now
Among other things, the Division of Investment Management said that broker-dealers...
United States
3 Nov 2017
Treasury Report, Part II: Regulation Of The Capital Markets
The U.S. Department of the Treasury ("Treasury Department" or "Treasury") issued its second report (of four reports), titled "A Financial System that Creates Economic Opportunities, Capital Markets" (the "Report").
United States
18 Oct 2017
SEC Approves NYSE Proposed Rule Change Requiring Advance Notice Of Dividend And Stock Distribution Announcements
On August 14, 2017, the SEC approved the NYSE's proposed rule change amending Sections 204.12, 204.21, and 202.06(B) of its NYSE Listed Company Manual to require listed companies...
United States
24 Aug 2017
Private Company Liquidity Programs
Nasdaq Private Market reports increased activity in private company liquidity programs.
United States
23 Aug 2017
Links to Result pages
1 2 3 4 5 6 7 8 9