FINRA Releases Notice on Complex Products and Options

FINRA Requests Information from Member Firms Related to the Sale of Complex Products by May 9, 2022
March 22, 2022
U.S. SEC warns brokers to ‘remain vigilant’ to market, counterparty risk
March 22, 2022
Show all

FINRA Releases Notice on Complex Products and Options

Read Full Article

FINRA notes that the number of accounts trading in complex products and options has increased significantly in recent years and that important regulatory concerns arise when investors trade such products without understanding their unique characteristics and risks. Further, these concerns may be heightened when retail customers access these products through self-directed platforms without the assistance of a financial professional. In light of these concerns, FINRA cautions that trading in complex products and options requires member firm scrutiny and supervision.