WebMay 9, 2024 · As FINRA’s own former Chairman and CEO observed in connection with the regulation of complex products in 2012: Some countries have implemented a form of merit regulation, in which they prohibit certain speculative products from reaching the retail market. This approach would be a significant ... FINRA Regulatory Notice 22-08. ... WebSep 16, 2024 · A notice posted recently by the Financial Industry Regulatory Authority (FINRA) about so-called “complex products,” hinted that tighter regulation may be on the way.
Finra seeks comments on changes to oversight of complex products
WebMay 11, 2024 · Asset managers and many advisors are waving red flags around FINRA's proposal to craft new rules for "complex products," which … gold fish identification chart
FINRA Requests Comment on Sales Practices for Complex Products…
WebJan 25, 2012 · See FINRA Regulatory Notices 11-02 and 11-25. The Notice indicates that member firms should have formal written procedures to ensure complex products have been reviewed and thoroughly vetted before they are recommended to retail investors. FINRA suggests a firm’s procedures require that representatives obtain answers to a … WebOct 22, 2024 · The Financial Industry Regulatory Authority is mulling an update to its rules around complex products, according to Robert Cook, FINRA’s president and CEO. The broker-dealer self-regulator is ... WebOn March 8, 2024, the Financial Industry Regulatory Authority, Inc. (“FINRA”) issued Regulatory Notice 22-08 (Complex Products and Options) (the “Notice”). The Notice … goldfish identifying features