Structured Thoughts: News for the financial services community

Volume 9, Issue 2

07 Mar 2018

In this issue of Structured Thoughts, we discuss:

  • FINRA 2018 Exam Priorities: Suitability and Complex Products
  • Sales of Structured Notes to Advised Accounts
  • Historical Performance Graphs: Saying Farewell to The Financial Crisis?
  • Massachusetts Charges Broker-Dealer in Connection With Violations of DOL Fiduciary Rule
  • SEC Commissioner Stein Highlights Concerns Regarding Retail Investors and Complex Structured Products

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