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Displaying 21-30 out of 35 results for "Introduction to ETFs".

FINRA Press Release: Subprime Securitizations

FINRA Fines Deutsche Bank Securities $7.5 Million for Negligent Misrepresentations Related to Subprime Securitizations

The Financial Industry Regulatory Authority (FINRA) issued a press release today announcing that

"it has fined Deutsche Bank Securities Inc. $7.5 million for negligently misrepresenting delinquency data in connection with the issuance of subprime securities."

The settlement is detailed in the FINRA AWC No. 20080128087. According to FINRA, Deutsche Bank Securities...

SLCG Research: Principal Protected Notes

SLCG released today 'The Anatomy of Principal Protected Absolute Return Notes'.

Structured products are debt securities that often have unconventional and complex payoff structures. Their payoffs are often linked to a security or index, such as the S&P 500 or the Russell 2000, with asset classes ranging from equity, commodities, currencies and debt. A Principal Protected Absolute Return Barrier Note (ARBN) is one structured product that returns the absolute value of the return of the...

SLCG Research: Preferred Stock Portfolios

SLCG released today 'The Risks of Preferred Stock Portfolios'.

Preferred stocks have characteristics similar to both debt and equity. Like debt, preferred stocks make fixed or floating dividend payments similar to coupon payments of debt. Like equity, the dividend payments are not an obligation of the issuer and a failure to make dividend payments does not constitute a default. Holders of preferred stocks have claims on the income and assets of the issuing company before common equity...

SLCG Research: Reverse Convertibles

SLCG released today 'What TiVo and J.P. Morgan teach us about Reverse Convertibles'.

Structured products are debt securities that often have unconventional and complex payoff structures. Their payoffs are often linked to a security or index, such as the S&P 500 or the Russell 2000, with asset classes ranging from equity, commodities, currencies to debt. A reverse convertible note is an equity-linked structured product. It is a short-term note that pays a relatively high coupon rate...

FINRA Press Release: FINRA Sanctions Citigroup

Citigroup Pays $1.5 Million for Supervisory Failures Related to Elaborate Scheme to Misappropriate Millions in Trust Funds Belonging to Cemeteries Located in Michigan and Tennessee

The Financial Industry Regulatory Authority (FINRA) issued a press release this week announcing that

"it has imposed a monetary sanction of $1.5 million against Citigroup Global Markets Inc. for supervisory violations relating to its handling of trust funds belonging to cemeteries in Michigan and Tennessee....

FINRA Press Release: Auction Rate Securities

FINRA Fines Nuveen $3 Million for Use of Misleading Marketing Materials Concerning Auction Rate Securities

The Financial Industry Regulatory Authority (FINRA) issued a press release this week announcing that

"it has fined Nuveen Investments, LLC, of Chicago, $3 million for creating misleading marketing materials used in sales of auction rate preferred securities (ARPS). The Nuveen Funds' ARPS were a form of auction rate securities, which are long-term securities with interest rates or...

In the News: Equity Indexed Annuities

Forbes published an article on equity-indexed annuities (EIAs). It describes the history of and market for EIAs, compares EIAs with other fixed and variable annuities, and briefly weighs the advantages and disadvantages of EIAs.

An annuity makes periodic payments to the holder of the annuity. There are fixed annuities that make fixed payments and variable annuities that make variable payments. EIAs are similar to both fixed and variable annuities in that they pay an interest rate linked...

Reverse Convertibles tied to TiVo Stock

J. P. Morgan's 64% Note Tied to TiVo Stock Shows Risks of Reverse Convertibles

Bloomberg issued a news release reporting on the reverse convertible, a structured product, on TiVo.

A reverse convertible note is a type of structured product that is linked to an equity security or an index. It is a short-term note that pays a relatively high coupon rate compared to traditional notes. The returns of the note at maturity depends on whether the equity, called 'reference asset', falls below a...

FINRA Press Release: HSBC Securities

FINRA Fines HSBC Securities (USA) $1.5 million, US Bancorp $275,000 for Auction Rate Securities Violations

The Financial Industry Regulatory Authority (FINRA) issued a press release today announcing that

"it has settled charges with two additional firms relating to the sale of auction rate securities (ARS) that became illiquid when auctions froze in February 2008 - HSBC Securities (USA) and US Bancorp Investments, Inc."

The settlement is detailed in the FINRA AWC No. 20080130571...

FINRA Press Release: Morgan Keegan

FINRA Files Complaint Against Morgan Keegan & Company for Misleading Customers Regarding Risks of Bond Funds and Advertising, Other Violations

The Financial Industry Regulatory Authority (FINRA) issued a press release today announcing that

"it has filed a complaint against Morgan Keegan & Company, Inc., charging the firm with marketing and selling seven affiliated bond funds to investors using false and misleading sales materials - costing investors well over $1 billion. In addition...

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