In This Issue: Due Diligence Procedures for Structured Note Distributors; Key Issues for Yankee CDs; The SEC and FINRA: Protect Your Elders; The FSOC’s 2013 Annual Report: Increasing Exchange-Traded Product Activity;...more
5/16/2013 - Broker-Dealer Due Diligence Elder Issues FINRA FSOC SEC Structured Financial Products
In This Issue: FINRA Issues Guidance on Backtested Performance Data; FINRA’s Ketchum Discusses Structured Products; and Update Regarding TRACE and Rule 144A Securities. Excerpt from FINRA Issues Guidance on...more
4/30/2013 - Exchange-Traded Products FINRA Structured Financial Products
In This Issue: Reverse Inquiry Transactions in the Spotlight; How Will the Fed’s Proposed Foreign Bank Rules Affect Foreign Bank Debt Financing Activities in the U.S.?; IOSCO Commences Consultation on Benchmarks; and...more
2/7/2013 - Benchmarks FINRA Foreign Banks Investors IOSCO Regulation T Reverse Inquiry Transactions SEC Structured Financial Products
On January 21, 2013, the International Organization of Securities Commissions (IOSCO), of which the Financial Industry Regulatory Authority, Inc. is an affiliate member, published its final report on Suitability Requirements...more
1/24/2013 - Complex Financial Products EU FINRA IOSCO MiFID Suitability Requirements
In This Issue: Additional SEC Guidance on Estimated Value Disclosures; FINRA to Continue Its Focus on Structured Products; FINRA’s Ketchum Discusses Structured Products; FINRA Issues Q&A Guidance on New Communications...more
1/17/2013 - Estimated Value Disclosures ETFs ETNs Executive Compensation FINRA Prospectus SEC
In This Issue: Dividend Adjustments on the Way; Federal Court Decision Supports Use of “Big-Boy Letters”; FINRA Updates Its Suitability Questions and Answers; FINRA Rule 5123 Excludes Some, But Not All, Options;...more
12/19/2012 - Big-Boy Letters Commodity Pool Dividends ETFs FINRA Fiscal Cliff GFMA
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