Our experts frequently write blog posts about the findings of the research we are conducting.
FINRA Regulatory Priorities 2014
FINRA Action Against JP Turner for Unsuitable Leveraged ETF Sales
Investors Bristle at New Structured Product Valuations
Fees on Structured Products Rise as Sales Increase
SEC Issues Letter Regarding Structured Product Valuation Disclosures
Structured Product Issuers Under Pressure to Disclose Estimated Value
Elaborating on the [SEC's] sweep letter, the Staff noted that issuers must disclose the "issuer estimated value" on the cover page of the offering document, and share this information with investors prior to the time of sale. This estimated value...
SEC Press Release: Structured Products
"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."
SEC Press Release: Morgan Keegan fined in connection with CDOs
"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
SEC Press Release: Assigned Credit Ratings
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.