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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

Product intervention

Morrison & Foerster LLP
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United Kingdom
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July 7 2011

As we have previously discussed, the UK Financial Services Authority (the “FSA”) signaled a sea change in the way retail financial products will be regulated in the UK in its Discussion Paper on product intervention published in January 2011 (the “Discussion Paper”

FINRA’s new guidance relating to suitability potential impact on structured products

Morrison & Foerster LLP
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USA
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May 30 2012

On May 21, 2012, FINRA issued Regulatory Notice 12-25, in which FINRA provided additional guidance on its new suitability rule, FINRA Rule 2111

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

Product intervention

FINRA’s new guidance relating to suitability potential impact on structured products

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