Structured Products: Legal and Regulatory Materials

State and Other Materials

FINRA Materials

7/29/2013 New Jersey Bureau of Securities, Consent Order Relating to Sales of Non-Traditional ETFs, July 2013 (Subversion, training, unsuitable sales.)
7/10/2013 Secretary Galvin Begins Investigatory Sweep of the Sales of High Risk Alternative Investments to Seniors
8/24/2012 Massachusetts Secretary of State - Guidance in Connection with the Retail Sales of Structured Products by Massachusetts Registrants
This guidance discusses structured products, retail sales of structured products, written procedures and supervisory system, maintenance of records, and product-specific training.
04/2012 Office of the Comptroller of the Currency, Activities Permissible for a National Bank
Discussion of securities and derivatives activities begins on page 52.
8/23/2011 NH Enforcement Action: UBS Financial Services, Inc.
UBS consent order with NH Securities Bureau based on sale of Lehman investments.
- Press Release
- Consent Agreement
12/3/2009 FDIC Statement of Policy Regarding Use of Offering Circulars in Connection with Public Distribution of Bank Securities
This statement of policy concerns the use of offering circulars in connection with the public distribution of bank securities by insured state nonmember banks. The FDIC is issuing this statement in view of its statutory duties relating to capital adequacy, the safety and soundness of insured banks, and its review responsibilities with respect to mutual-to-stock conversions of FDIC-regulated financial institutions. The statement of policy also is intended to protect insured state nonmember banks against the risk of serious capital loss or litigation that could result if bank securities are sold in violation of the antifraud provisions of the federal securities laws.

Structured Products: Legal and Regulatory Materials State and Other Materials

Structured Products: Legal and Regulatory Materials

State and Other Materials