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

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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…..page 4; and, Reverse Convertibles…..page 7.

FINRA Issues Notice to Members re Securities Linked to Commodity

Futures

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.

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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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