Regulatory Notice 22|08 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

Re: FINRA Regulatory Notice 22-08, Complex Products and Options. Dear Ms. Mitchell: The Securities Industry and Financial Markets Association ...

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) ...

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

Re: Regulatory Notice 22-08: Complex Products and Options. Dear Ms. Piorko Mitchell: State Street Global Advisors, the investment management ...

Regulatory Notice 22-08 Complex Products and Options - finra

On behalf of the Consumer Federation of America (CFA),1 Americans for Financial. Reform Education Fund,2 and Better Markets,3 we appreciate ...

FINRA Releases Notice on Complex Products and Options

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

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 ...

SIFMA-AMG-on-FINRA-Regulatory-Notice-22-08-Complex-Products ...

FINRA Rule 2360 requires broker-dealers to establish investor eligibility requirements for different types of option trading, as do comparable ...

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 ...

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 ...

FINRA Issues Regulatory Notice Relating to Complex Products and ...

FINRA Issues Regulatory Notice Relating to Complex Products and Options ... On March 8, 2022, FINRA issued its Regulatory Notice 22-08 ...

Investors Say "Complex" Products Don't Need Gatekeeping

The vagueness of the notice has led · In an open comment letter on FINRA Regulatory Notice 22-08, Dave Nadig, financial futurist at ...

Regulatory Notice 22-08 (the

present none of the concerns from the trading of options or other complex products in self-directed accounts. If the Commission or FINRA ...

NASAA Comment Letter to FINRA Regarding Regulatory Notice 22 ...

NASAA Comment Letter to FINRA Regarding Regulatory Notice 22-08, Complex Products and Options. Home > Policy > Regulatory Policy > Comment Letters > NASAA ...

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) ...

Republicans Urge FINRA to Reject Proposals that Limit Choice for ...

... 22-08, which solicits public comment on a number of questions ... complex products” and options (the 'Reg Notice'). As you know, the ...

Draft Recommendation regarding the Protection of Self-Directed ...

... FINRA's recent examination of its rules governing complex products and options in Regulatory Notice 22-08.15 Specifically,. FINRA asked ...

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 ...

COMMENT LETTER: FINRA Regulatory Notice 22-08 | PIABA

Regulatory Notice 22-08 requests comments regarding complex products and options. PIABA submits this comment because the bar association ...

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 (“ ...