Structured Thoughts: News for the financial services community -- Volume 2, Issue 14


In This Issue:

Conflicts of Interest; Volcker Rule; SEC’s Staff Legal Bulletin on Legal Opinions; Focus on ETFs/ETNs; and Revised FINRA Proposal Applies Content Standards of Rule 2210 to Broadly Disseminated FWPs.

Except from Conflicts of Interest

On September 19, 2011, the Securities and Exchange Commission (“SEC”) released a proposed rule (“Proposed Rule 127B”) implementing the conflicts of interest provisions of Section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the “Dodd-Frank Act”). Section 621 added a new section 27B to the Securities Act of 1933, as amended (the “Securities Act”). Proposed Rule 127B was released on September 19, 2011, for a 90-day comment period, which will end on December 19, 2011.

Please see full issue below for more information.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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