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Author: trptrade Add to my Favorite Fools Ignore this person (you won't see their posts anymore) Number: of 35367  
Subject: Re: Principal Protected Notes Date: 12/18/2009 3:42 PM
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CheersSRX,

I'm not aware that there is any secondary market for these instruments, since many of them tend to be very small.

If you're simply looking for a list of what exists (instead of what you can buy), search Edgar for filing type 424(b)(2). Go here: http://searchwww.sec.gov/EDGARFSClient/jsp/EDGAR_MainAccess.... and click "Advanced Search Pane" and then under "In Form Type" select "424B2". This will give you all kinds of weird structured instruments (Note that not all of these are principal protected CDs, but all kinds of structured instruments). I know JPM issues a ton of weird stuff like this, so you can also do a basic Edgar search for JPM filings and then limit that to 424B2 to get a sense of what they do.

Note also that isn't necessarily a complete list, as there are issues I am aware of (such as from Union Bank) that I can't find in EDGAR. (I had someone ask me how these work and if they make sense, so I recently had Union Bank send me a disclosure statement so I could read it. I had the November release, you can find a one for their December notes here: http://www.fisn.com/resources/pdf/Union%20Bank%20S&P500%... ). Some that are currently available are also listed here: http://www.fisn.com/financialLinkContent.php?page=3&teri...

Tom
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