Product and Contract Topics | Fried Frank | Regulatory Intelligence

Product and Contract Topics

This is a collection of pages on topics related to financial products and contracts.

Asset-Backed Securities

Asset-Backed Securities

Asset-Backed Securities Issuers (ICA Rule 3a-7)

Asset-Backed Securities Overview

BD Communications about CMOs

Credit Rating Agencies and Credit Ratings

Credit Risk Retention

Due Diligence Reports

ICA Section 3(c)(4), (5) and (6) Funds, Including REITs

Marketplace Lending

TBAs and the MSFTA

Intangible and FinTech Products

Crypto and Initial Coin Offerings

Intellectual Property

LIBOR and Indices

Exempted Securities

Government Securities: Rule by Rule

MSRB Rules: Rule by Rule

Municipal Securities Documents

Municipal Securities and Dealers Overview

Financing

Repo Agreements

Securities Lending

Securities Margin

TBAs and the MSFTA

Funds

BD Marketing of Funds

Breakpoint Sales and Share Class Issues

Reciprocal Dealings or Shelf Space

Options

Commodity Options

Index and Currency Warrants

Large Option Position Reporting ("LOPR")

Marketing of Options

Securities Options

Other

Callable Securities

Cannabis Finance

Direct Participations

Foreign Currency

ESG; Climate Change; Sustainability

Recommendations of OTC Equity Securities

What Is a "Security"?

Security Futures

Security Futures: BD and FCM Regulation

Security Futures: Market Regulation

Security Futures Products