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b3b - L'actualité Banque & Web
       Posted on June 14th, 2011

SEC and FINRA Warn Retail Investors About Investing in Structured Notes With Principal Protection

The Securities and Exchange Commission’s (SEC) Office of Investor Education and Advocacy and the Financial Industry Regulatory Authority (FINRA) have issued an investor alert called Structured Notes with Principal Protection: Note the Terms of Your Investment to educate investors about the risks of structured notes with principal protection, and to help them understand [...]


       Posted on April 25th, 2010

Regulation D Offerings – Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings

FINRA reminds broker-dealers of their obligation to conduct a reasonable investigation of the issuer and the securities they recommend in offerings made under the Securities and Exchange Commission’s Regulation D under the Securities Act of 1933—also known as private placements.

Regulation D provides exemptions from the registration requirements of Section 5 under the Act. Regulation D [...]


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