Structured Thoughts - Volume 3, Issue 2 - February 6, 2012


In this issue: Nasdaq Proposes Listing Rules Relating to Structured Products; and Texas District Court Issues Ruling on Application of the 1933 Act on CDs.

Excerpt from 'Nasdaq Proposes...':

In January 2012, Nasdaq proposed new rules for the listing and trading of a wide variety of structured notes and other related products. These rules would apply to equity-linked, commodity-linked, and other notes.

The proposed rules are based on the listing standards of NYSE Arca, where most U.S.-listed structured products currently trade. In the proposal, Nasdaq indicates that one of the purposes of the proposal is to promote competition and deeper markets.

Amended Nasdaq Rule 5710 would provide the continued listing standards for equity-linked and commodity-linked securities, together with initial and continuing listing standards for fixed-income linked, futures linked, and multifactor index-linked securities. New Nasdaq Rule 5711 would include listing standards for...

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