The US Securities & Exchange Commission (SEC) divisions of Investment Management, Corporation Finance, and Trading and Markets will review the effectiveness of the existing regulatory requirements in protecting investors.
The US securities regulator has launched a consultation to review the ‘effectiveness of the existing regulatory requirements in protecting investors’ - particularly those with self-directed accounts - who invest in leveraged/inverse products and other complex products. Based on this review, the SEC will potentially release new rulemaking, guidance or other policy actions, if appropriate for these products to promote retail investor understanding and appreciation of their unique char
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