Morrison & Foerster LLP - Structured Products

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Firm Profile: Morrison & Foerster LLP
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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
  • Germany
  • Hong Kong
  • Japan
  • Singapore
  • United Kingdom
Number of Attorneys
1,000+ Attorneys
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Publications About Authors

James Beha II

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

Administrative Proceedings, Broker-Dealer, Department of Labor (DOL), Disclosure Requirements, Distributors

See all updates »

Steven J. Bleiberg

Structured Thoughts: Volume 5, Issue 2 - February 20, 2014

In This Issue: Opinions and Warnings – ESMA’s Views on Complex Products; SEC Releases Draft Strategic Plan; Distributing Structured Notes from a Regulation S Platform; and Non-U.S. Equity Underliers and Exchange Rate…more

Complex Financial Products, Compliance, EU, European Securities and Markets Authority (ESMA), Financial Regulatory Reform

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Paul Borden

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

Bail-In Provisions, Canada, China, Department of Labor (DOL), Fiduciary Rule

See all updates »

Sara Bradley

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

U.S. Structured Warrant Programs: Introduction - U.S. and non-U.S. banks have offered structured warrants in the U.S. to address the needs of both institutional and high-net worth investors. This article will describe…more

Advertising, Banking Sector, Broker-Dealer, Cease and Desist, Cooperation

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Hillel Cohn

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

Bail-In Provisions, Canada, China, Department of Labor (DOL), Fiduciary Rule

See all updates »

Ze'-ev Eiger

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

Comment Period, Debt, Department of Labor (DOL), Deposit Accounts, FDIC

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Susan Gault-Brown

Structured Thoughts: News for the financial services community Volume 9, Issue 4

SEC FINES BROKER-DEALER FOR EARLY RESALES OF STRUCTURED NOTES - On June 25, 2018, the SEC announced that a broker-dealer settled charges relating to inappropriate resales of structured notes. The SEC determined that the…more

Broker-Dealer, Investment Adviser, Securities and Exchange Commission (SEC), Structured Finance

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Peter J. Green

Structured Thoughts: News for the Financial Services Community, Volume 10, Issue 3

In this issue of Structured Thoughts, we discuss: ..New Regulation Best Interest, and its impact on the structured products market. ..The SEC’ June 2019 request for comment on simplifying, harmonizing and improving the…more

Broker-Dealer, Capital Formation, Packaged Retail And Insurance-Based Investment Products (PRIIPS), Regulation Best Interest, Securities and Exchange Commission (SEC)

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Lloyd Harmetz

Structured Thoughts: News for the Financial Services Community, Volume 10, Issue 6

In this issue of Structured Thoughts, we discuss: ..European Commission consultation on EU benchmark regulation ..FINRA: Suitability and sales practices remain an issue ..SEC charges Switzerland-based dealer for selling…more

Benchmarks, Bitcoin, Broker-Dealer, Corporate Financing, EU

See all updates »

Kelley Howes

Structured Thoughts: News for the financial services community Volume 9, Issue 4

SEC FINES BROKER-DEALER FOR EARLY RESALES OF STRUCTURED NOTES - On June 25, 2018, the SEC announced that a broker-dealer settled charges relating to inappropriate resales of structured notes. The SEC determined that the…more

Broker-Dealer, Investment Adviser, Securities and Exchange Commission (SEC), Structured Finance

See all updates »

Yiyang Huang

Structured Thoughts: News for the Financial Services Community, Volume 10, Issue 6

In this issue of Structured Thoughts, we discuss: ..European Commission consultation on EU benchmark regulation ..FINRA: Suitability and sales practices remain an issue ..SEC charges Switzerland-based dealer for selling…more

Benchmarks, Bitcoin, Broker-Dealer, Corporate Financing, EU

See all updates »

Oliver I. Ireland

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

Depository Institutions, EU, EU Benchmark Regulation, Fiduciary Rule, Financial Industry Regulatory Authority (FINRA)

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Jeremy Jennings-Mares

Structured Thoughts: News for the Financial Services Community, Volume 10, Issue 6

In this issue of Structured Thoughts, we discuss: ..European Commission consultation on EU benchmark regulation ..FINRA: Suitability and sales practices remain an issue ..SEC charges Switzerland-based dealer for selling…more

Benchmarks, Bitcoin, Broker-Dealer, Corporate Financing, EU

See all updates »

Jared Kaplan

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

BaFin, Bank Holding Company, Brokerage Accounts, Cease and Desist Orders, Duty to Update

See all updates »

Lewis Gavin Lee

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

Banking Sector, Department of Labor (DOL), Derivatives, EU, EURIBOR

See all updates »

Vladimir Maly

Structured Thoughts: News for the financial services community Volume 9, Issue 3

FINAL CANADIAN BAIL-IN RULES: IMPACT ON STRUCTURED NOTES OFFERED IN THE UNITED STATES - In March 2018, the Canadian government released its final regulations relating to “bail-in instruments” issued by Canadian domestically…more

Bail-In Provisions, Canada, Cryptocurrency, Deadlines, Dividends

See all updates »

Daniel A. Nathan

Structured Thoughts: Volume 5, Issue 8 - December 2014

In This Issue: - Key Regulators Speak at Structured Products Conference - FINRA Shows Its CARDS; It Will Use Big Data to Review Suitability of Complex Products Sales - FINRA’s Proposed Bond Mark-up…more

Advertising, Big Data, Broker-Dealer, CARDS, Disclosure Requirements

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Dylan Kelsey Naughton

Structured Thoughts: News for the financial services community Volume 9, Issue 3

FINAL CANADIAN BAIL-IN RULES: IMPACT ON STRUCTURED NOTES OFFERED IN THE UNITED STATES - In March 2018, the Canadian government released its final regulations relating to “bail-in instruments” issued by Canadian domestically…more

Bail-In Provisions, Canada, Cryptocurrency, Deadlines, Dividends

See all updates »

Tadashi Okamoto

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

SEC FINES BROKER-DEALER FOR UNSUITABLE SALES OF LEVERAGED ETNS - In September 2018, the SEC fined a New York-based broker-dealer in connection with unsuitable sales of leveraged ETNs linked to the price of crude oil. In…more

Broker-Dealer, Capital Markets, ETNs, Securities and Exchange Commission (SEC), Structured Financial Products

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Elizabeth Schauber

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

BaFin, Bank Holding Company, Brokerage Accounts, Cease and Desist Orders, Duty to Update

See all updates »

James Schwartz

Structured Thoughts: News for the Financial Services Community, Volume 10, Issue 6

In this issue of Structured Thoughts, we discuss: ..European Commission consultation on EU benchmark regulation ..FINRA: Suitability and sales practices remain an issue ..SEC charges Switzerland-based dealer for selling…more

Benchmarks, Bitcoin, Broker-Dealer, Corporate Financing, EU

See all updates »

Alex Stone

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

Banking Sector, Department of Labor (DOL), Derivatives, EU, EURIBOR

See all updates »

Clara Wong

Structured Thoughts: News for the Financial Services Community, Volume 10, Issue 6

In this issue of Structured Thoughts, we discuss: ..European Commission consultation on EU benchmark regulation ..FINRA: Suitability and sales practices remain an issue ..SEC charges Switzerland-based dealer for selling…more

Benchmarks, Bitcoin, Broker-Dealer, Corporate Financing, EU

See all updates »

Helen Shouhua Yu

Structured Thoughts - Volume 6 , Issue 1 - January 26 , 2015

In This Issue: - FINRA Releases 2015 Regulatory and Exam Priorities Letter: Structured Products Remain an Area of Focus - OCIE Exam Priorities: 2015 - In Re: TVIX Securities Litigation - Second…more

Basel III, Credit Suisse, European Securities and Markets Authority (ESMA), Examination Priorities, Exchange-Traded Products

See all updates »
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