Series 14: 9.1.4.4. Collateralized Mortgage Obligations (CMOs)

Taken from our Series 14 Online Guide

9.1.4.4. Collateralized Mortgage Obligations (CMOs)

CMOs are highly risky debt instruments backed by a pool of mortgage pass-through securities or mortgage loans. All advertisements, sales literature, and correspondence concerning CMOs:

• Must include in the name of the offered product the term “collateralized mortgage obligation”

• May not compare CMOs to any other investment vehicle

• Must disclose that government agency backing applies only to the face val

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