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 for the Structured Products Market -
In October 2013, FINRA issued its long-awaited report on broker-dealer conflicts of interest.
The report was issued after a process that FINRA initiated in July 2012. At that time, FINRA sent a targeted examination letter to several large (unnamed) brokerage firms to review their conflicts management practices, and to better understand how the industry identifies and manages conflicts.1 FINRA based its report on information obtained from the responses to the examination letter, in-person meetings with FINRA, and a follow-up compensation questionnaire.
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