Title

FINRA Files Amended Communications Rules – Impact on Structured Products
Client Memorandum

Created date

8/22/2011
On July 14, 2011, the Financial Industry Regulatory Authority, Inc. filed with the Securities and Exchange Commission a proposal to adopt various rules in the Consolidated FINRA Rulebook affecting members’ communications with retail and institutional investors, as well as with internal sales forces, and these amendments will likely affect the offer and sale of structured products in several important ways.