Structured Thoughts: News for the financial services community

Volume 9, Issue 4

28 Jun 2018

In this issue of Structured Thoughts, we discuss:

  • SEC Fines Broker-Dealer for Early Resales of Structured Notes
  • Structured Note Pricing Supplements and Blood Letters – Who Is Responsible for the Disclosures?
  • When Is an Index Sponsor an Investment Adviser?

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