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: Securities Law Prof Blog

FINRA Reminds Firms of Obligations Regarding Principal-Protected Notes

By Securites Lawprof

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FINRA recently issued a regulatory notice on Principal-Protected Notes to remind firms of their sales practice obligations relating to principal-protected notes. Here is the executive summary: The retail market for principal-protected notes (PPNs) has grown in recent years, in part...

Full post as published by Securities Law Prof Blog on December 17, 2009 (boomark / email).

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