Structured Thoughts: News for the financial services community - Volume 1, Issue 14 - October 26, 2010


IN THIS ISSUE: FINRA Issues Notice to Members re Securities Linked to Commodity Futures…..…page 1; FINRA Issues New Guidance Regarding Content, Approval and Filing Requirements for Free Writing Prospectuses… 4; and, Reverse Convertibles… 7.

FINRA Issues Notice to Members re Securities Linked to Commodity


As part of FINRA’s continuing focus on member firms’ communications with retail investors about more complex structured products and structures,1 it recently released regulatory notice 10-512 reminding firms of their sales practice obligations for commodity futures-linked securities. The notice is likely to impact the sales process for a variety of commodity-linked structured products, including “principal protected” and “non-principal protected” notes, certificates of deposit, exchange-traded notes and exchange traded funds.

Please see full news bulletin below for more information.

LOADING PDF: If there are any problems, click here to download the file.

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.

© Morrison & Foerster LLP | Attorney Advertising

Written by:


Morrison & Foerster LLP on:

Readers' Choice 2017
Reporters on Deadline

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:

Sign up to create your digest using LinkedIn*

*By using the service, you signify your acceptance of JD Supra's Privacy Policy.

Already signed up? Log in here

*With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name. Or, sign up using your email address.