WebApr 25, 2024 · The Financial Industry Regulatory Authority (FINRA), an independent, nongovernmental organization that writes and enforces the rules governing registered brokers and broker-dealer firms in the U.S., issued Regulatory Notice 22-08 in March, “reminding members of their sales practice obligations for complex products and … WebMar 8, 2024 · Although FINRA refrained from defining “complex product” in Regulatory Notice 12-03, we provided numerous examples of the types of retail-oriented products … As a former complex product supervisor for one of the largest broker-dealers in the …
Investing may be too complex for retail investors and brokers - CNBC
WebOct 21, 2024 · Comment Period Expires: December 20, 2024*. FINRA has extended the comment period to February 21, 2024. Aug 02, 2024. Regulatory Notice 22-17. FINRA … WebMay 9, 2024 · The Asset Management Group (the “AMG”) of the Securities Industry and Financial Markets Association (“SIFMA”)1 appreciates the opportunity to provide comments to the Financial Industry Regulatory Authority (“FINRA”) on FINRA’s Regulatory Notice 22-08 concerning complex products.2 SIFMA AMG’s comments will focus only on the ... empty semaphore
Regulatory Notice 22-11 FINRA.org
WebMay 11, 2024 · On March 8, 2024, FINRA issued Regulatory Notice 22-08 soliciting comment on: Effective practices that firms have developed for complex products and … WebMay 9, 2024 · 3. New Rulemaking Will Necessitate a Definition of “Complex Product” The Notice avoided a definition as scrupulously as FINRA’s previous statements: There is currently no standard definition of a “complex product.” Because new products and strategies are constantly introduced, FINRA has construed the term “complex product” … WebOn March 8, 2024, FINRA issued its Regulatory Notice 22-08, which may be accessed here (the "Notice"). The Notice summarizes a significant portion of FINRA's prior guidance relating to customer transactions in complex products. In addition, the Notice solicits comments on a variety of related areas, including (1) effective practices that ... draw with numbers for adults