Staying ahead.

In this issue of Structured Thoughts, we discuss regulating retail structured products and the IOSCO toolkit.

In this issue of Structured Thoughts, we discuss FINRA’s guidance on backtested performance data, FINRA Chairman and CEO Rick Ketchum’s recent discussion of structured products, and also provide an update regarding TRACE and Rule 144A securities.

The Review of Securities & Commodities Regulation, Vol. 46 No. 7

In this issue of Structured Thoughts we discuss indices, the proposed extension of Rule 206(3)-3T, MNPI and structured products, and investments by federal and state savings associations.

This is a special issue of Structured Thoughts that recaps SIFMA’s recent Complex Products Conference.

In this issue of Structured Thoughts, we discuss the ever expanding suite of disclosure documents for securities offerings, the increased options for private structured note programs as a result of the proposed SEC regulations under the JOBS Act, the SEC’s recent study on financial literacy, and ProShares’ ETF class action lawsuit.

In this issue of Structured Thoughts, we examine FINRA’s announcement of an effective date for new rules regarding communications with the public, the Federal banking agencies’ regulatory capital proposals, the new FINRA rule 5123 on private placements and the FDIC’s recent investor alert relating to structured CDs.

In this issue of Structured Thoughts, we discuss many relevant issues, including the U.S. Treasury’s request for comments on issuances of floating rate notes, the impact of the JOBS Act on private structured product programs and “SEC Speaks’” recent PLI program on structured products. We also address institutional suitability certification, the Section 3(c)(7) exception under the 1940 Act, exchange-traded notes and debt research.

In this issue of Structured Thoughts, we discuss Nasdaq’s proposed listing rules relating to structured products and a Texas District Court’s issuing of a ruling on application of the 1933 Act to CDs.

This issue of Structured thoughts features articles about FINRA’s notice regarding complex products, FINRA’s recent consent agreement on adequate supervisory systems and procedures in the sale of reverse convertible notes and the SEC’s announcement of a second extension of comment period for conflict of interest rules.

Volume 2, Issue 16

BNA Real Estate Law & Industry Report

Market Solutions
Volume 19, Number 4

International Financial Law Review

Financier Worldwide

The Business Lawyer, Vol. 65

Journal of Securities Law, Regulation & Compliance, Vol. 2, No. 4, Henry Stewart Publications

INSIGHTS, Vol. 11, No. 11

First published in International Financial Law Review August 2008. Used by permission.

First published in International Financial Law Review October 2007. Used by permission.

First published in Financier Worldwide October 2007. Used by permission.

First published in International Financial Law Review August 2007. Used by permission.

First published in International Financial Law Review June 2007. Used by permission.

First published in Butterworths Journal of International Banking and Financial Law in April 2007. Used by permission.

First published in Structured Products magazine in January 2007. www.structuredproductsonline.com Copyright 2007 Incisive Media. All rights reserved. Used by permission.

First published in International Financial Law Review January 2007. Used by permission.

First published in Wall Street Lawyer in May 2006. Copyright 2006 Thomson/West Legalworks. Used by permission. All rights reserved.

First published in PIPEs: A Guide - Bloomberg Press 2006. Used by permission.

First published in Euromoney Institutional Lawyer 2001. Used by permission.