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FINRA Issues Reminder Relating To Mark-Up Disclosure Requirements For Structured Notes

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The Financial Regulatory Authority (FINRA) recently issued a detailed report on compliance issues noted in its examination program.

We are Morrison Foerster — a global firm of exceptional credentials. Our clients include some of the largest financial institutions, investment banks, and Fortune 100, technology, and life sciences companies. Our lawyers are committed to achieving innovative and business-minded results for our clients, while preserving the differences that make us stronger.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. Prior results do not guarantee a similar outcome.

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The Financial Regulatory Authority (FINRA) recently issued a detailed report on compliance issues noted in its examination program.In this <a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blta3426964e5d5f4a9/627314560d4d8e1d7f10f1f2/210217-finra-issues-reminder.pdf" target="_blank">alert</a>, we discuss FINRA’s observations relating to Rule 2232, which requires broker-dealers to provide additional transaction-related information to retail customers for certain types of trades in debt securities, and the market for structured notes.

FINRA Issues Reminder Relating To Mark-Up Disclosure Requirements For Structured Notes

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