Structured Thoughts: News for the financial services community, Volume 5, Issue 1 -- January 7, 2014

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 Priorities: Structured Products Remain an Area of Focus; FINRA Reiterates Its Concern about Unsuitable Sales of Non-Traditional ETFs; IOSCO Issues Final Toolkit; and Michael Osnato Named by SEC to Lead the Enforcement Division’s Complex Financial Instruments Unit.

Excerpt from “Structured Products, Meet the Volcker Rule”: The New Limitations on Proprietary Trading:

Introduction:

As readers of this publication know, the long-anticipated final Volcker Rule has been issued. The rule generally prohibits, among other things, any “banking entity” from engaging in “proprietary trading” with respect to a wide variety of financial instruments.

Please see full issue below for more information.

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