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

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • 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

In re Lehman Brothers and principal protection

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • August 2 2011

On July 27, 2011, Judge Lewis Kaplan issued a ruling in the case In re Lehman Brothers Securities and ERISA Litigation, in which the plaintiffs include pension funds, companies and individuals that were purchasers of various classes of equity and debt securities issued by Lehman Brothers Holdings Inc

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

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • 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

State of Georgia reviewing offerings of reverse convertible notes

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • July 27 2011

According to recent news reports, the Secretary of State of Georgia, who regulates securities firms, is investigating whether securities laws were violated by the sale of reverse convertible notes and similar securities to Georgia investors

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

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • July 27 2011

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

Dodd-Frank Act rulemaking update: SEC proposal for removal of certain references to credit ratings in Rules 101 and 102 of Regulation M

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • May 24 2011

On April 27, 2011, the U.S. Securities and Exchange Commission (the “SEC”) proposed amendments to five rules and one form under the Securities Exchange Act of 1934 (the “Exchange Act”) to remove all references to credit ratings and substitute alternative standards of creditworthiness

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