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 publication below for more information.