Wednesday, February 7, 14 and 21, 2018
1:00 p.m. – 2:00 p.m. EST
Morrison & Foerster and Wolters Kluwer Webinar Series
The Tax Cuts and Jobs Act of 2017 (H.R.1), signed into law by President Trump on December 22, 2017,
IM Insights
Providing securities and derivatives regulatory updates for investment management industry participants
IM Insights, published by Morrison & Foerster LLP, focuses on regulatory and compliance issues affecting financial services and investment management sectors. The blog covers topics such as SEC regulations, FINRA guidance, fund of funds rules, valuation practices for registered investment companies, and implementation of regulations like Regulation Best Interest and Form CRS. It provides updates on enforcement trends, compliance best practices, and legal developments relevant to broker-dealers, investment advisers, and fund managers. The content aims to assist industry participants in navigating complex regulatory frameworks and addressing operational risks associated with securities laws and investment company regulations.
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10th Annual Structured Products Association Legal, Regulatory & Compliance Update
Monday, February 5, 2018
6:00 p.m. – 8:30 p.m.
Morrison & Foerster LLP
250 W 55th Street
New York, NY 10019
The Structured Products Association and Morrison & Foerster are pleased to host this annual Legal, Regulatory & Compliance Update…
SEC Staff Raises Concerns Related to Cryptocurrency ETFs and Mutual Funds
On January 18, 2018, the Securities and Exchange Commission’s (SEC) Division of Investment Management broke its relative silence regarding the recent growth of cryptocurrencies and cryptocurrency-related products. While signaling that registration of funds intending to invest substantially in cryptocurrency and…
Complimentary Teleconference – Financing Fintech: State Regulation of Marketplace Lenders as Loan Brokers or Arrangers of Credit
Thursday, January 25, 2018
5:00 p.m. – 5:45 p.m. EDT
Join us for one of our upcoming monthly telephone briefings led by members of our Fintech team:
This call will be an operator-assisted call of approximately 45 minutes in duration,…
FINRA Publishes FAQs on New Measures to Prevent the Financial Exploitation of Seniors
In January 2018, FINRA issued guidance on the provisions of Rule 2165 and the amendments to Rule 4512, which were approved in February 2017. The new requirements are aimed at preventing the financial exploitation of seniors, and are scheduled to…
Understanding the Standard of Care for Broker-Dealers and the Department of Labor’s Fiduciary Rule
Until recently, broker-dealers operating in the United States weren’t subject to a fiduciary standard when dealing with their retail clients.
The passage of the Dodd-Frank Act in 2010 included a provision enabling the Securities and Exchange Commission to consider and…
SEC Releases Liquidity Rule FAQs
By Kelley Howes
The staff of the SEC’s Division of Investment Management released this week a series of frequently asked questions (FAQs) regarding new Rule 22e-4 (the “Liquidity Rule”). The Liquidity Rule requires non-money market mutual funds and certain exchange-traded funds (ETFs) to…
SEC Enforcement Division Announces its 2018 Priorities and 2017 Results
By Gonzalo Go
Introduction
The Securities and Exchange Commission’s Division of Enforcement (the “Division”) has published its annual report for fiscal year 2017 (the “Report”). The Report is available at the following link: https://www.sec.gov/files/enforcement-annual-report-2017.pdf. The Report discusses the Division’s key initiatives and results…
FINRA Provides Preview of 2018 Rulemaking Activity
In a December 20, 2017 press release, FINRA announced that, at its final Board of Governors meeting for 2017, it approved the filing of several proposed amendments to its rules.
The rule proposals will include the following:
- Capital Formation:
…
SEC’s Regulatory Agenda Revealed
The Securities and Exchange Commission (SEC) published an update to its regulatory agenda for the year on December 14, 2017, as part of a broad rulemaking agenda published by the Office of Management and Budget, which lists the rules that…