Identifying Conflicts of Interest in Structured Products Offerings -
With FINRA and other regulators focused on conflicts of interest in the broker-dealer industry, market participants are working diligently to identify...more
2/23/2017
/ Advertising ,
Broker-Dealer ,
Conflicts of Interest ,
EFTs ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
Marketing ,
Proposed Amendments ,
Rule 2210 ,
Securities and Exchange Commission (SEC) ,
Structured Financial Products
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...more
10/17/2015
/ Advertising ,
Banking Sector ,
Broker-Dealer ,
Cease and Desist ,
Cooperation ,
Corporate Financing Rule ,
Disclosure Requirements ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Hedges ,
High Net-Worth ,
Institutional Investors ,
Internal Controls ,
Investors ,
Material Misstatements ,
Misleading Statements ,
Neither Admit Nor Deny Settlements ,
OCC ,
Omissions ,
Private Offerings ,
Prospectus ,
Public Offerings ,
Required Documentation ,
Securities and Exchange Commission (SEC) ,
Settlement ,
Structured Finance ,
Structured Financial Products ,
Survivor Benefits ,
Warrants
In This Issue:
- FINRA Requests Comments on Proposed Amendments to Rule 2210 and Issues Additional FAQs
- FINRA’s Revised Sanction Guidelines
- A Uniform Fiduciary Duty Standard and the Structured Products...more
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
12/2/2014
/ Advertising ,
Big Data ,
Broker-Dealer ,
CARDS ,
Disclosure Requirements ,
Exchange-Traded Products ,
Financial Industry Regulatory Authority (FINRA) ,
Regulatory Agenda ,
Regulatory Standards ,
Securities and Exchange Commission (SEC) ,
Structured Financial Products