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The Financial Stability Oversight Council’s 2013 annual report: increasing exchange-traded product activity

In its 2013 Annual Report, the U.S. Financial Stability Oversight Council (the "FSOC") summarized, as part of its review of investment funds

Yankee CDs are certificates of deposit issued by U.S. branches of non-U.S. banks. Some Yankee CDs are issued by a federally licensed branch that is

In April 2013, the SEC, in association with FINRA, held a Compliance Outreach Program for broker-dealers. The program included a panel that addressed

Sections 11 and 12 are the main liability provisions under the Securities Act of 1933, as amended (the "Securities Act"). Section 11 covers

On May 2, 2013, Amy Starr, Chief of the SEC's Office of Capital Markets Trends, spoke by teleconference at Structured Products magazine's Americas

On April 9, 2013, Richard Ketchum, Chairman and Chief Executive Officer of FINRA, delivered a speech regarding the National Compliance Outreach

In April 2013, FINRA's Board of Governors approved a proposal to publicly disseminate 144A transactions in TRACE-eligible securities for those asset

Issuers of structured products that reference indices with limited histories often present in their offering documents hypothetical historical data

In February 2013, FINRA's new rules relating to communications with the public became effective.1 These new rules have affected distributors who

Federal and state banks, including those that are affiliated with issuers of structured products, remain important participants in the distribution