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SEC Issues Risk Alert Noting Broker-Dealer Deficiencies in Structured Product Sales

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August 27, 2015
Client Alert

The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations recently issued a Risk Alert summarizing deficiencies in controls of certain broker-dealers related to sales of structured products to retail investors. The Risk Alert follows a series of examinations of branch offices of broker-dealers that distribute structured products issued as securities. The SEC staff found that in connection with these structured products sales all of the examined firms:

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