In This Issue:

FINRA’s 2013 Communication Rules and Revisions to MSDAs; Regulation R and Bank Sales of Structured Products; FCA Temporary Product; and Intervention Rules: Nipping It in the Bud.

Excerpt from FINRA’s 2013 Communication Rules and Revisions to MSDAs -

In February 2013, FINRA’s new rules relating to communications with the public became effective. These new rules have affected distributors who purchase and sell structured products from one another in connection with their initial distribution. As a result, in this article, we set forth a number of potential revisions to “selected dealer agreements” and similar documents that market participants may wish to consider in light of these new rules.

Please see full issue below for more information.

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Topics:  Broker-Dealer, Distribution Rules, Financial Conduct Authority, FINRA, FSMA, Gramm-Leach-Blilely Act, Product Intervention Rules, Public Communications, Regulation R, Structured Financial Products

Published In: General Business Updates, 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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