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Corporate & Securities Law
: FinancialCounselSecurities Regulator Issues Timely Guidance Regarding Cash Alternatives And High Yield Securities
By James Eccleston
Investors have searched for high yield securities as well as "cash equivalents" that will protect their principal. Financial services firms have responded, but in too many instances have mischaracterized the benefits and the risks of both kinds of investments. Recently, FINRA (the Financial Industry Regulatory Authority) issued regulatory notices to firms to guide them in how to market and sell such investments. Let's examine FINRA's guidance.
Full post as published by FinancialCounsel on January 14, 2009 (boomark / email).
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