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Corporate & Securities Law

: FinancialCounsel

Securities Regulator Urges Caution Relating To The Sale Of Principal-Protected Notes

By James Eccleston

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As investors clamor for investments with growth potential and some degree of safety, the retail market for principal-protected notes ("PPN"s) has increased.  However, FINRA (the Financial Industry Regulatory Authority) is concerned that investors mistakenly may believe that these investment products are risk-free.  They are not.  Furthermore, their terms and structures can be complex.

Accordingly, FINRA recently issued Regulatory notice 09-73 to financial services firms.  The Notice addresses communications with investors and the suitability of PPNs as an investment.  The Notice also describes the features of, and several hypothetical scenarios associated with, PPNs.  Let's examine the key points of the Notice.

Continue...

Source:  FINRA Regulatory Notice 09-73

Full post as published by FinancialCounsel on January 15, 2010 (boomark / email).

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