In an Information Notice, FINRA advised members that the Options Clearing Corporation issued the latest version of "Characteristics and Risks of Standardized Options" (also known as the "Options Disclosure Document"), which supersedes and replaces the prior document and related supplements.
News & Insights
11 News Results
FINRA reminded members of their obligations regarding (i) the performance of due diligence on customers seeking to open trade options, (ii) the supervisory reviews of options accounts and (iii) margin requirements for options.
In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2021.
In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2020.
Two interdealer brokers settled separate New York State and CFTC charges for fraudulent practices involving foreign exchange currency options.