In this issue of Structured Thoughts we discuss: FINRA’s Report on conflicts of interest issues for the structured products market; and structured notes, their hedges, and Dodd-Frank.
10/15/2013
Newsletter
This issue of Structured Thoughts discusses structured products and the SEC’s new general solicitation and bad actor rules; and offering terms that are determined after the time of a product’s pricing.
9/3/2013
Newsletter
In this issue of Structured Thoughts, we examine complex products and conducting a reasonable basis suitability review; guidelines for presenting backtested performance data; IOSCO’s final report on principles for financial benchmarks; the SEC and FINRA’s concerns regarding the sale of complex products to senior citizens; the “retailisation” of structured products in the EU; FINRA’s recent FAQ on TRACE and variable price reofferings; and other timely topics.
8/12/2013
Newsletter
In this issue of Structured Thoughts, we discuss FINRA’s alert concerning the purchase of structured products in order to increase returns; the IOSCO report regarding more uniform regulation and greater transparency for exchange-traded products; and FINRA’s decision to forgo its proposal to require supervision of non-securities business.
7/9/2013
Newsletter
In this issue of Structured Thoughts, we examine how the UK’s FCA has restricted the marketing of unregulated collective investment schemes and similar products to retail investors; electronic structured note systems and U.S. securities regulation; and various reminders from the SEC and FINRA.
6/17/2013
Newsletter
In this issue of Structured Thoughts, we discuss due diligence procedures for structured note distributors; key issues for Yankee CDs; the SEC and FINRA’s concerns about the sale of certain structured products to senior citizens; the Financial Stability Oversight Council’s 2013 Annual Report; and the SEC’s recent discussion of estimated value.
5/15/2013
Newsletter
In this issue of Structured Thoughts, we discuss regulating retail structured products and the IOSCO toolkit.
5/2/2013
Newsletter
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.
4/26/2013
Newsletter
In this issue of Structured Thoughts, we discuss FINRA’s 2013 communication rules and revisions to MSDAs, Regulation R and bank sales of structured products, and the Financial Conduct Authority’s temporary product intervention rules.
4/12/2013
Newsletter
The Review of Securities & Commodities Regulation, Vol. 46 No. 7
4/3/2013
Article
In this issue of Structured Thoughts we discuss the additional SEC guidance on estimated value disclosures, 2013 OCIE examination priorities and their implications for structured products issuers and dealers, the EITF and the Federal Funds rate, and the FDIC’s proposal to nix insurance for dually payable deposits.
2/28/2013
Client Alert, Newsletter
International Financial Law Review
February 2013
Article
Reprinted with permission.
In this issue of Structured Thoughts, we discuss the EU regulation on short selling and its impact on U.S. issuers of structured notes, FINRA’s focus on conflicts and the revised FINRA communications rules.
11/13/2012
Newsletter
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.
10/12/2012
Newsletter
This is a special issue of Structured Thoughts that recaps SIFMA’s recent Complex Products Conference.
10/1/2012
Newsletter
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.
9/19/2012
Newsletter
In this issue of Structured Thoughts, we discuss FINRA’s recent concerns about exchange-traded notes and new PRIPs legislation finally published by the EU Commission.
7/20/2012
Newsletter
Teleconference
6/28/2012
Multimedia
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.
6/21/2012
Newsletter
In this issue of Structured Thoughts, we discuss FINRA’s new guidance relating to suitability and its potential impact on structured products, how FINRA’s consent agreements target supervisory systems and procedures in the sale of non-traditional ETFs and how Massachusetts has fined broker-dealers for the sales of non-traditional ETFs.
5/30/2012
Newsletter
Derivatives Intelligence
April 2012
Article
In this issue of Structured Thoughts, we focus on the SEC’s announcement of a sweep relating to structured products.
4/19/2012
Newsletter
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.
4/11/2012
Newsletter
This issue of Structured Thoughts deals with the final structured products guidance offered by the FSA.
4/2/2012
Newsletter
International Financial Law Review
April 2012
Book
Reprinted with permission.
This issue of Structured Thoughts addresses complex financial products and IOSCO suitability requirements.
3/28/2012
Newsletter
In this issue of Structured Thoughts, we examine FINRA’s priorities, the importance of knowing your distributor with regard to structured products and FINRA’s revised Rule 5310, the best execution rule.
3/21/2012
Newsletter
International Financial Law Review
March 2012
Article
The Review of Securities & Commodities Regulation, Vol. 45, No. 3
2/8/2012
Article
Copyright © 2012 by RSCR Publications LLC. ISSN: 0884-2426. Reproduction in whole or in part prohibited except by permission. All rights reserved. Information has been obtained by The Review of Securities & Commodities Regulation from sources believed to be reliable. However, because of the possibility of human or mechanical error by our sources, The Review of Securities & Commodities Regulation does not guarantee the accuracy, adequacy, or completeness of any information and is not responsible for any errors or omissions, or for the results obtained from the use of such information.
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.
2/6/2012
Newsletter