Current Options
Disclosure Document
(PDF Format) 


Securities Future 
Disclosure Document
(PDF Format) 



Securities Corporation

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New York, NY 10017

    Regulator Weighs in on Structured Products 

January 20, 2012    

FINRA (the brokerage firm regulator) just issued Notice 12-03 on complex and structured products. The notice warns that many products may not achieve the results the clients expect. The notice further suggests that firms "should consider whether less complex or costly products could achieve the same objectives for their customers. For example, registered representatives should compare a structured product with embedded options to the same strategy through multiple financial instruments on the open market". These warnings and suggestions will not come as anything "new" to those we work with. A link to the Notice is below.


 FINRA Regulation Notice 12-03 





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