In its March 2021 Regulatory Notice 21-10, FINRA announced that it has updated the form that FINRA members use to file offering documents and related information regarding their participation in private placements. See FINRA...more
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...more
5/31/2016
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Debt ,
Department of Labor (DOL) ,
Deposit Accounts ,
FDIC ,
Financial Industry Regulatory Authority (FINRA) ,
Offerings ,
Recordkeeping Requirements ,
Regulation S-K ,
Retirement Plan ,
Securities and Exchange Commission (SEC) ,
Structured Financial Products ,
Underwriting
In March 2016, the SEC entered into a settlement agreement with a U.S. broker-dealer, which initiated research coverage of an issuer after being invited by the issuer to participate as an underwriter for that issuer’s planned...more
With the May 2016 effective date of the new crowdfunding rules approaching, the SEC is attempting to help prepare the market. On February 16, 2016, the SEC’s Office of Investor Education and Advocacy issued an investor...more
On February 8, 2016, FINRA released Regulatory Notice 16-08 relating to the contingency offering requirements of Rules 10b-9 and 15c2-4 under the Exchange Act. The Notice arises from FINRA’s review of various private...more
We have a variety of regulations that set forth different standards of eligibility for different types of instruments. These can be found under both the U.S. securities laws and the commodities laws. It’s not always easy to...more
Structured Products Offerings and Research Reports:
Introduction -
Structured products are sold by broker-dealers, many of which are affiliates of large investment banks. The equity research group of the same...more
11/6/2015
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Broker-Dealer ,
Disclosure Requirements ,
Equity Research Rule ,
ETNs ,
Financial Industry Regulatory Authority (FINRA) ,
Global Systemically Important Financial Institutions (GSIFI) ,
License Agreements ,
Offerings ,
Sanctions ,
Securities and Exchange Commission (SEC) ,
Structured Financial Products ,
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