FINRA Releases Notice on Complex Products and Options

FINRA Regulatory Notice 22-08 (Complex Products) - Adisa

(“FINRA”), Regulatory Notice 22-08, entitled “Complex Products and Options” (the “Notice” or. “RN 22-08”). In RN 22-08, FINRA reminds its ...

Virtu Comment Letter on FINRA's Solicitation for Comment on ...

RE: Regulatory Notice 22-08: FINRA Reminds Members of Their Sales Practice. Obligations for Complex Products and Options and Solicits Comment on.

Ropes & Gray's Investment Management Update February – March ...

On March 9, 2022, the Financial Industry Regulatory Authority (“FINRA”) issued Regulatory Notice 22-08 (the “Notice”), which is premised on the ...

Requests for Comments | FINRA.org

... Complex Products and Options and Solicits Comment on Effective Practices and Rule Enhancements. Comment Period: May 9, 2022. Dec 16, 2021, Regulatory Notice 21- ...

September 7, 2022 - Financial Services Committee

and policy considerations regarding retail investors' access to “complex products” and options. (the “Reg Notice”).1 As you know, the Reg ...

Staff Bulletin: Standards of Conduct for Broker-Dealers ... - SEC.gov

... complex options can achieve the same investment objectives. In the ... financial professionals who recommended complex financial products.

Finra's 'Complex Products' Warning Stirs Worries In ETF Industry

In the March notice, Finra said it was “reminding members of their sales practice obligations for complex products and options and [to] solicit ...

433 W. Van Buren Street › Chicago, IL 60607 › cboe.com

Complex Products and Options and Solicits Comments on Effective Practices and Rule ... 9 See FINRA Regulatory Notice 22-08 referencing Options ...

FINRA Releases Long-Anticipated Guidance on New Work-From ...

May 31, 2024, End of COVID-19 relief provided under Regulatory Notice 20-08 ; June 1, 2024 ...

FINRA's 2024 Annual Regulatory Oversight Report - WilmerHale

1 Previously titled Report on FINRA's Examination and Risk Monitoring Program, the Report is released each year and provides insight into ...

FINRA News: SIFMA, Reg BI, And SEC - The National Law Review

Trading Approval. A broker-dealer was fined $3 million for its alleged failure to exercise due diligence in approving customers for options ...

Broker-Dealer Disciplinary Actions: Takeaways From 2024 (So Far)

According to an AWC, FINRA alleged that a broker-dealer failed to reasonably supervise that marketable equity orders entered into the firm's ...

FINRA Facts and Trends: January 2023 - Bracewell LLP

FINRA reiterated that firms should review Regulatory Notice 22-08 to focus their compliance obligations for complex products and options. From FINRA's ...

Notice of Filing of a Proposed Rule Change To Amend FINRA Rule ...

FINRA is proposing to amend FINRA Rule 2210 (Communications with the Public). Currently Rule 2210 prohibits projections of performance or ...

Annual Conference: Retail Sales of Complex Products - finra - YUMPU

The Notice also encourages firms toconsider whether less complex products ... options andderivatives should possess a sophisticated ...

Regulatory Notice 17-32 | FINRA.org

Firms are reminded of their obligation to vet complex products, to put reasonable supervisory controls in place, and to train their registered ...

FINRA Clarifies Extraordinary Cooperation Credit - Jones Day

The Result: On July 11, 2019, FINRA published Regulatory Notice 19-23, clarifying decade-old guidance on what constitutes "extraordinary" ...

FINRA 2020 Risk Monitoring and Examination Priorities Letter

FINRA will assess firms' compliance with sales practice obligations including complex products, variable annuities, private placements ...

Federal Register/Vol. 89, No. 131/Tuesday, July 9, 2024/Notices

Rule 8312 (FINRA BrokerCheck. Disclosure), which governs the information FINRA releases to the public via FINRA's BrokerCheck® tool, to ...

FINRA Issues Regulatory Notice regarding Exchange-Traded ...

This Update summarizes FINRA's Regulatory Notice 17-32 regarding the suitability and supervision of volatility-linked exchange-traded products (ETPs) sales, ...