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Our experts frequently write blog posts about the findings of the research we are conducting.

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Displaying 2 out of 2 results for "Structured Products".

FINRA Regulatory Notice: Complex Products

FINRA recently released Regulatory Notice 12-03: Heightened Supervision of Complex Products, outlining their increased scrutiny of a wide variety of alternative investments including structured products, inverse or leveraged exchange traded funds, and asset-backed securities. Here at SLCG, we've done research on each of those subjects, and have a variety of ongoing projects that bear directly on the issues highlighted by the Notice.

The products identified include:

  • Asset-backed...

FINRA Regulatory Notice: Reverse Convertibles

FINRA Reminds Firms of Their Sales Practice Obligations With Reverse Exchangeable Securities (Reverse Convertibles)

The Financial Industry Regulatory Authority (FINRA) published Regulatory Notice 10-09 reminding financial firms selling reverse convertibles notes (RCN) to provide fair and balanced sales materials and communications, including proper statement on the risks associated with such notes.

In an upcoming SLCG study on RCN, we have found that investors of RCNs have been...

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