Structured Notes and Issuer Quiet Periods Background -
Most issuers establish a “quiet period” (also called a “blackout” period) prior to the release of potentially sensitive information and material non-public...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
/ Binary Options ,
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 ,
Websites
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:
- The National Senior Investor Initiative
- SEC Commissioner Addresses Structured Notes
- The SEC Defines “Voting Equity Securities” Under the Rule 506(d) Bad Actor Disqualification...more
In This Issue:
- FCA Publishes Thematic Review on Structured Product Development and Governance
- EU Commission Review of Prospectus Directive
- SEC Issues Investor Bulletin Relating to Structured Notes
-...more
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
1/27/2015
/ Basel III ,
Credit Suisse ,
European Securities and Markets Authority (ESMA) ,
Examination Priorities ,
Exchange-Traded Products ,
Financial Industry Regulatory Authority (FINRA) ,
FSB ,
Global Systemically Important Banks (G-SIBs) ,
MiFID ,
OCC ,
OCIE ,
Securities ,
Securities Litigation ,
Structured Financial Products
In This Issue:
- What to Expect in 2015
- EU Regulatory Agenda: Into 2015
- FINRA Issues Report Relating to its Communication Rules
- Structured Product Offerings and RIAs
- The SEC, Investment Funds and...more
12/24/2014
/ Banking Sector ,
Banks ,
Derivatives ,
EU ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Regulatory Reform ,
Investment Adviser ,
Investment Funds ,
Securities and Exchange Commission (SEC) ,
Structured Financial Products
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
In This Issue:
- Index Changes and Successor Indices: Avoiding Delisting From The NYSE Arca
- EU PRIIPS Regulation Expected to Come Into Force
- UK Review of the Fixed Income, Currency and Commodities...more
In This Issue:
- European Product Intervention
- FINRA Speaks at 2014 Structured Retail Products Conference
- FINRA Approves Amendments to Communication Rules – Relief from Filing for Certain...more
In This Issue:
“Structured Products, Meet the Volcker Rule”: The New Limitations on Proprietary Trading; SEC and FINRA Personnel Speak at Structured Products Conference; FINRA’s Annual Regulatory and Examination...more
In This Issue:
FINRA’s Report on Conflicts of Interest: Issues for the Structured Products Market and Structured Notes, Their Hedges, and Dodd-Frank
Excerpt from FINRA’s Report on Conflicts of Interest: Issues...more
In This Issue:
- Chasing Return, Reprise
- IOSCO: Uniform Regulation and More Transparency for ETFs
- FINRA Removes Proposal to Require Supervision of Non-Securities Business
- In Case You Missed It
-...more
In This Issue:
UK’s FCA Restricts Marketing of Unregulated Collective Investment Schemes and Similar Products to Retail Investors; Electronic Structured Note Systems and U.S. Securities Regulation; and Reminders from...more
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
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
In This Issue:
FINRA’s 2013 Communication Rules and Revisions to MSDAs; Regulation R and Bank Sales of Structured Products; FCA Temporary Product; and Intervention Rules: Nipping It in the Bud.
Excerpt from...more
In This Issue:
Additional SEC Guidance on Estimated Value Disclosures; 2013 OCIE Examination Priorities Have Implications for Structured Products Issuers and Dealers; EITF and the Federal Funds Rate; and FDIC Proposes to...more
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