FINRA proposed amendments to the Security Futures Risk Disclosure Statement to reflect recent changes on position limits for security futures contracts, market-wide circuit breaker benchmarks and thresholds, and that exchanges may now list security futures on certain debt instruments.
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In separate CFTC, SEC and FINRA actions, a dually registered futures commission merchant and broker-dealer settled charges of AML compliance and suspicious activity report filing failures.
An introducing broker and a broker-dealer settled FINRA charges for share-class recommendations that resulted in their clients paying excess fees on their investments.
FINRA proposed updates to the security futures risk disclosure statement.