FINRA Releases Notice on Complex Products and Options

Over the years, FINRA has adopted rules and provided guidance to address the risks complex products and options pose. As noted above, we ...

FINRA Regulatory Notice 22-08, Complex Products and Options

The SEC should not extend Reg BI to self-directed transactions by retail customers in options or complex products. • FINRA should continue to ...

On March 8, 2022, the Financial Industry Regulatory Authority, Inc. (“FINRA”) issued Regulatory Notice 22- · 08 (Complex Products and Options) ( ...

Reconsidering the “Complex Product” Designation

On March 8, 2022, the Financial Industry Regulatory Authority, Inc. (“FINRA”) issued Regulatory Notice 22-08 (Complex Products and Options) ...

Notices | FINRA.org

Notices ; Monday, February 26, 2024, Regulatory Notice 24-04. FINRA Adopts Amendments to Conform its Rules to the T+1 Settlement Cycle. Operative Date: May 28, ...

Regulatory Notice 22-08 Complex Products and Options - finra

https://bit.ly/33RPaCY; Press Release, SEC, “SEC Charges UBS With Supervisory Failures in Sale of Complex. Products to Retail Investors ...

FINRA Regulatory Notice on Complex Products - Katten

FINRA recently issued Regulatory Notice 22-08, which Reminds Members of Their Sales Practice Obligations for Complex Products and Options ...

Regulatory Notice 23-20 | FINRA.org

FINRA encourages members to review these Bulletins closely, along with the Reg BI Adopting Release and the other guidance and resources ...

May 9, 2022 - finra

Re: FINRA Regulatory Notice 22-08. Dear Ms. Mitchell: AARP, on ... investors to options and other complex investment products. 1 There ...

FINRA Releases Notice On Complex Products And Options - Mondaq

On March 8, 2022, the Financial Industry Regulatory Authority, Inc. ("FINRA") issued Regulatory Notice 22-08 (Complex Products and Options) (the ...

FINRA Complex Products and Options - OCC Comment Letter (5.9 ...

Re: Regulatory Notice 22-08 – Complex Products and Options. Dear Ms ... FINRA's release soliciting comment on effective sales practices ...

Regulatory Notice 23-08 - finra

products, including consideration of less complex alternatives, and how it fits within ... Release No. 10884 (November 2, 2020), 86 FR. 3496 ...

FINRA Requests Information from Member Firms Related to the Sale ...

On March 8, 2022, FINRA released Regulatory Notice 22-08 expressing continued concerns related to the sale of complex products and options (“ ...

Regulatory Notice 22-08 (the

... options or other complex products in self-directed accounts. If the ... If FINRA or the Commission were to engage in rulemaking about complex ...

Introduction to NASAA: - finra

(“NASAA”)1 in response to Financial Industry Regulatory Authority (“FINRA”) Regulatory. Notice 22-08: Complex Products and Options – FINRA ...

Alternative Investments and Complex Products - finra

for Complex Products and Options and Solicits Comment on Effective Practices and Rule ... • FINRA Regulatory Notice 12-03, Heightened Supervision ...

Continued SEC/FINRA “Complex” Product Concerns - Carlton Fields

FINRA expands the examples of complex products in Regulatory Notice 22-08 to include defined outcome ETFs, mutual funds and ETFs that offer ...

Regulatory Notice 22-08: Complex Products and Options - State Street

See press release ... Should FINRA propose any substantive measures with respect to complex products, we urge FINRA to provide notice and an ...

FINRA Requests Comment on Sales Practices for Complex Products ...

On March 8, 2022, FINRA published a regulatory notice reminding broker-dealers of their regulatory obligations with the sale of complex ...

FINRA Issues Notice Regarding “Complex” Exchange-Traded ...

On March 8, 2022, FINRA issued a Regulatory Notice reminding members of their sales practice obligations regarding complex products and ...