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Derivatives

Most Recent Posts in Derivatives

Sep 29, 2016 UBS to Pay $15 Million over Unsuitable Reverse Convertible Note Sales to Conservative and Retired Investors
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Mar 15, 2016 UBS Preparing Sales of High-Yield CoCo Bonds, A Risky Debt That Can Bail Out Banks At Expense of Investors
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Jan 6, 2016 2016 FINRA Priorities Letter Includes Brokerage Firm Culture and Ethics, Suitability, Seniors, Complex Products
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Jun 24, 2015 SEC to Fight Financial Elder Abuse and Fraud by Upping Broker and Advisor Oversight in Retirement Accounts
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Jun 6, 2014 Concentration Risk: The Implications of Putting All Your Eggs in One Basket
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Jan 3, 2014 FINRA to Target Complex Investments Including REITs, ETFs and Mortgage Backed Securities in 2014 Exams
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Nov 17, 2013 Dangerous Words: SEC Cautions Firms to Stop Using "Protected," "Guaranteed" in Fund Names
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Oct 15, 2013 SEC: Small Violations Can Lead to Strong Enforcement, Sanctions, and Fines
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Mar 31, 2013 UBS-Sponsored Willow Fund Drops 80 Percent After Manager Sam Kim Switches to Risky Derivatives Strategy
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