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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Topics:  Banks, Enforcement, FINRA, IOSCO, Proprietary Trading, SEC, Structured Financial Products, Volcker Rule

Published In: Finance & Banking Updates, International Trade Updates, Securities Updates

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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