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Displaying 8 out of 8 results for "Structured Products".

SEC Press Release: Structured Products

(Jul 2011)

SEC Staff Issues Summary Report of Sweep Examination of Structured Products Sold to Retail Investors

The Securities and Exchange Commission (SEC) issued a press release today announcing that it had

"issued a report identifying common weaknesses seen in sales of structured securities products and describing measures by broker-dealers to better protect retail investors from fraud and abusive sales practices."

The report is a result of studies in the structured products business of...

FINRA Investor Alert: Asking the Right Questions

(Jul 2011)

The Grass Isn't Always Greener-Chasing Return in a Challenging Investment Environment

The Financial Industry Regulatory Authority (FINRA) published an Investor Alert to help retail investors, who are seeking for higher returns through investing in complex securities such as structured products, ask the right questions before making such investment decisions.

Investors are encouraged to read through the FINRA article. The article includes a section on 'Structured Retail Products', since...

In the News: UBS & Morgan Stanley Subpoenaed over Reverse Convertibles

(Jul 2011)

UBS, Morgan Stanley Subpoenaed Over Reverse Convertibles

Bloomberg news reported today that the state of Georgia had sent subpoenas requesting for data and other information from UBS AG, Morgan Stanley and Ameriprise Financial Inc.. The state is investigating whether these brokerage firms violated the securities laws of Georgia in their sale of reverse convertibles to investors of Georgia.

Sales of reverse convertibles have grown, and investors who are being sold these structured...

SEC Press Release: Morgan Keegan fined in connection with CDOs

(Jun 2011)

Morgan Keegan to Pay $200 Million to Settle Fraud Charges Related to Subprime Mortgage-Backed Securities

The U.S. Securities and Exchange Commission (SEC) issued a press release today announcing that

"Morgan Keegan & Company and Morgan Asset Management have agreed to pay $200 million to settle fraud charges related to subprime mortgage-backed securities. Two Morgan Keegan employees also agreed to pay penalties for their alleged misconduct, including one who is now barred from the...

Joint SEC and FINRA Press Release: Structured Products

(Jun 2011)

The SEC and FINRA Issue Joint Press Release on Structured Products

The Security and Exchange Commission (SEC) issued a press release today jointly with the Financial Industry Regulatory Authority (FINRA) dealing with structured products with "principal protection" - so called "principal protected notes." This press release announced that an investor alert had been issued to educate and warn investors about the substantial risks associated with investing in structured products.

FINRA's...

SEC Press Release: Assigned Credit Ratings

(May 2011)

SEC Seeks Public Comment to Assist in Study on Assigned Credit Ratings

The Securities and Exchange Commission (SEC) issued a press release today announcing that it had requested

for public comment on the feasibility of a system in which a public or private utility or a self-regulatory organization would assign a nationally recognized statistical rating organization (NRSRO) to determine credit ratings for structured finance products.

The SEC's effort is mandated by the Dodd-Frank...

FINRA Press Release: Principal Protected Notes

(Apr 2011)

FINRA Fines UBS Financial Services $2.5 Million; Orders UBS to Pay Restitution of $8.25 Million for Omissions That Effectively Misled Investors in Sales of Lehman-Issued 100% Principal-Protection Notes

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

"it has fined UBS Financial Services, Inc., $2.5 million, and required UBS to pay $8.25 million in restitution for omissions and statements made that effectively misled some investors...

SLCG Research: Modeling Autocallable Structured Products

(Mar 2011)

SLCG released today 'Modeling Autocallable Structured Products'.

A callable structured product is a note that is callable by the issuer. The note is linked to an underlying asset, or 'reference asset.' If the reference asset reaches the call price during the term of the note, the note is called and note holder receives a pre-specified return. If the reference asset never reaches the call price during the term of the note, the note is never called and the note holder simple receives the...

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