FINRA Requests Information from Member Firms Related to the Sale of Complex Products by May 9, 2022
SMS Compliance: A Complete Guide for Financial Firms
July 29, 2021
FINRA Releases Notice on Complex Products and Options
March 22, 2022FINRA Requests Information from Member Firms Related to the Sale of Complex Products by May 9, 2022
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What is a "Complex Product" and Why is FINRA Focused on Them
What is a "Complex Product" and Why is FINRA Focused on Them
Based on concerns regarding complex products as expressed in Regulatory Notice 22-08, FINRA is seeking comments from member firms by May 9, 2022, including, how firms identify complex products, and how they design supervisory and compliance programs to address account approval requirements, communications with retail customers, risk disclosures, advertising, supervision and training.
