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As we approach the end of the year, and begin to plan for 2013, we remind readers that the effective date of FINRA’s new offering communications rules is February 4, 2013
In a recent issue of this newsletter, we noted that FINRA representatives were focused on conflicts of interest in relation to the structuring and sales of structured products
On November 1, 2012, the regulation (the “Regulation”) of the European Parliament and Council of the European Union on short selling and certain aspects of credit default swaps became effective
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
On June 22, 2011, the SEC voted unanimously to adopt Rule 202(a)(11)(G)-1 under the Advisers Act, which provides an exemption from most provisions of the Advisers Act to certain family offices
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
