Searching Content indexed under Securities by Morrison & Foerster LLP ordered by Published Date Descending.
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SEC Proposes Changes To Business, Legal Proceeding And Risk Factor Disclosure Requirements
The SEC has proposed amendments to the description of business, legal proceeding and risk factor disclosures that are required pursuant to Regulation S-K.
United States
27 Aug 2019
Malaysia Announces Intention To Require Listed Companies To Implement Anti-Corruption Measures
On 22 July 2019, the Securities Commission Malaysia announced that it would implement an action plan to strengthen standards of corporate governance to prevent corruption, misconduct and fraud in Malaysia.
United States
15 Aug 2019
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 June 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
United States
25 Jul 2019
First Token Offering Qualified By The SEC Under Regulation A
On July 10, 2019, Blockstack Token LLC ("Blockstack"), a wholly-owned subsidiary of Blockstack PBC, a Delaware public benefit corporation
United States
23 Jul 2019
FAQs About Non-GAAP Financial Measures for REITs
The use of non-GAAP financial measures is nearly ubiquitous for U.S. public companies. According to Audit Analytics
United States
16 Jul 2019
SEC Clarifies Investment Adviser Standard Of Conduct
On June 5, 2019, the SEC issued an Interpretive Release designed to "reaffirm, and in some cases clarify, the standard of conduct that investment advisers owe to their clients."
United States
9 Jul 2019
FAQs About Form 8-K Relevant To Public REITs
Form 8-K is the form on which public companies report, on a current basis, the occurrence of significant events.
United States
6 Jun 2019
SEC Proposes Changes To The Accelerated Filer And Large Accelerated Filer Definitions
On May 9, 2019, the U.S. Securities and Exchange Commission (the "SEC") proposed amendments to the "accelerated filer" and "large accelerated filer" definitions adopted under the Securities Exchange Act of 1934...
United States
29 May 2019
Federal Reserve Proposes New Control Regulations
On April 23, 2019, the Board of Governors of the Federal Reserve System released a proposed rule to revise regulations related to the determination of "control" under the BHC Act and the Home Owners' Loan Act.
United States
14 May 2019
SEC Issues Historic No-Action Letter And Releases Framework For "Investment Contract" Analysis Of Digital Assets
On April 3, 2019, the Strategic Hub for Innovation and Financial Technology ("FinHub") of the U.S. Securities and Exchange Commission ("SEC") published two pieces of guidance
United States
29 Apr 2019
MoFo New York Tax Insights - Volume 10, Issue 4
Welcome to the latest issue of New York Tax Insights.
United States
23 Apr 2019
SEC Announces Settlements Resulting From The Share Class Selection Initiative
On March 11, 2019, the SEC announced settlements with 79 investment advisers who self-reported violations of the Investment Advisers Act of 1940 (the "Advisers Act") ...
United States
26 Mar 2019
SEC Proposes To Expand "Test-The-Waters" Accommodation
On February 19, 2019, the SEC proposed a rule and related amendments under the Securities Act of 1933, as amended (the "Securities Act"), that would permit issuers to engage ...
United States
13 Mar 2019
Tokenization + The SEC – Part 1
Dario de Martino discusses the real possibilities and opportunities around security tokens
United States
20 Feb 2019
SEC Adopts Dodd-Frank Act Hedging Disclosure Rule
On December 18, 2018, the SEC adopted amendments to its rules to implement Section 955 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the "Dodd-Frank Act"),
United States
12 Feb 2019
OFAC Designates PDVSA To Initiate End Game In Venezuela
UPDATE: Sanctions prohibitions regarding PDVSA are in flux. After designating the entity and issuing related general licenses on January 28, 2019 ...
United States
7 Feb 2019
The SEC Continues To Spread Sunshine On Private Equity: Reflections On Two Recent Enforcement Actions
The end of 2018 was notable for two SEC enforcement actions against private equity fund managers for violations of the Investment Advisers Act of 1940 arising from improper allocations of expenses
United States
5 Feb 2019
SEC Division Of Corporation Finance Provides Guidance On Resumption Of Operations Following The Government Shutdown
On January 27, 2019, the Division of Corporation Finance of the SEC provided guidance for issuers regarding the approach that the Division will take in processing filings, submissions and other requests for action by the Division's staff.
United States
31 Jan 2019
FINRA's 2019 Risk Monitoring And Examination Priorities Letter Highlights Broker-Dealer Online Distribution Platform Activities
FINRA recently published its 2019 Risk Monitoring and Examination Priorities Letter ("Priorities Letter") highlighting topics upon which FINRA will focus in the coming year
United States
31 Jan 2019
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