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The SEC’s report of its sweep examination of retail structured products

Morrison & Foerster LLP
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USA
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August 2 2011

In this issue of Structured Thoughts, we discuss the SEC's report of its sweep examination of retail structured products, the RIC commodity ruling update, and In re Lehman Brothers and principal protection

FINRA warns investors about chasing returns in structured products and other investments

Morrison & Foerster LLP
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USA
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July 27 2011

On July 25, 2011, FINRA issued an investor alert that warns investors about the risks of investing in riskier and sometimes complex products that promise higher returns

FINRA’s proposed revisions to Rule 2210, communications with the public: expected impact on the structured products market

Morrison & Foerster LLP
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USA
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July 27 2011

In July 2011, FINRA proposed to amend several of its rules relating to broker-dealers’ communications with the public

Talk tax quarterly news

Morrison & Foerster LLP
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USA
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July 22 2011

Just as we were going to press bemoaning the impending January 1, 2013 effective date of the Foreign Account Tax Compliance Act, the Internal Revenue Service and Treasury Department announced an extension of the new provisions’ withholding and reporting requirements

UIT basics

Morrison & Foerster LLP
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USA
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July 14 2011

A unit investment trust, which is a type of registered investment company under the Investment Company Act of 1940 (the 1940 Act), may be used as a means of offering structured investments

The freezer: holding structured products in inventory

Morrison & Foerster LLP
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USA
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July 7 2011

Clients frequently ask us whether they, as underwriters, can take structured notes that are being offered by them and hold them in inventory, or in the “freezer,” and resell the securities at a later time

The SEC’s proposed amendments to Regulation M: potential impact on structured notes

Morrison & Foerster LLP
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USA
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June 20 2011

Section 939A of the Dodd-Frank Act requires the SEC to review (i) any regulation that requires the use of an assessment of the creditworthiness of a security and (ii) any reference to or requirement in such regulations regarding credit ratings, and to modify them to remove those references and substitute standards of creditworthiness the SEC determines to be appropriate

Principles applicable to retail structured products reaffirmed

Morrison & Foerster LLP
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USA
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June 2 2011

The Joint Associations Committee on Retail Structured Products recently republished principles for managing the provider-distributor relationship (PD Principles) in retail structured products and principles for managing the distributor-individual investor relationship (DI Principles

FINRA priorities

Morrison & Foerster LLP
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USA
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June 2 2011

At FINRA's Annual Conference, Richard Ketchum made wide-ranging comments and spoke about structured products

Repackagings

Morrison & Foerster LLP
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USA
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February 22 2011

We are often asked to consider whether "bundling" certificates of deposit (CDs) and offering interests in these CDs would be considered a new instrument and whether the FDIC insurance would still be passed along to investors purchasing the interests

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