Finra has launched a consultation related to the sale of complex products and options in light of continued concerns and increased activity.
The US Financial and Regulatory Agency (Finra) is seeking feedback on effective practices that members have developed for managing the risks of complex products and options as data shows that ‘overall trading in complex products may be on the rise’. The US regulator remains concerned about the risks these products pose and is seeking feedback from product providers offering complex products and options to self-directed retail investors, to establish ‘whether the current regula
Continue reading with a subscription to the SRP market intelligence platform.
Request a demoAlready a subscriber? Login