Series 14: 9.1.3.3.4. Collateralized Mortgage Obligations (CMOs)

Taken from our Series 14 Online Guide

9.1.3.3.4. Collateralized Mortgage Obligations (CMOs)

Collateralized Mortgage Obligations (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

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