Lookback
The Financial Industry Regulatory Authority (Finra) issued a notice in December 2009 highlighting the potential disclosure requirements surrounding the issuance of principal-protected notes.
The US securities regulator reminded its members that all disclosures should include the degree of principal protection, the credit risk of the issuer and any guarantor, any limitations on a product’s upside potential, any limitations on the investor’s ability to receive the return of his or her funds prior
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