Structured Thoughts -- Volume 4, Issue 10 -- July 9, 2013

In This Issue:

- Chasing Return, Reprise

- IOSCO: Uniform Regulation and More Transparency for ETFs

- FINRA Removes Proposal to Require Supervision of Non-Securities Business

- In Case You Missed It

- Excerpt from Chasing Return, Reprise -

Two years ago, in the summer of 2011, FINRA released its investor alert “The Grass Isn’t Always Greener—Chasing Return in a Challenging Investment Environment.” The alert focused on how investors, in the then-existing low interest rate environment, were purchasing structured products and other more complex investments in an effort to increase their returns.

What has changed in the past two years?

Please see full alert 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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