FINRA increased margin requirements for exchange-traded notes and options in order to address the complexity of these products, as well as confirming that exchange-traded notes and options on them are not allowed for portfolio margining.
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The Basel Committee on Banking Supervision and IOSCO revised criteria for identifying "simple, transparent and comparable" short-term securitizations.
SEC Commissioner Kara Stein described the current exchange-traded product marketplace and discussed how regulators can best keep up with significant market developments.
The IOSCO Board reported on the status of the implementation of the G20/Financial Stability Board's post-crisis recommendations to strengthen securities markets.
The SEC and FINRA settled charges that a financial services firm failed to adequately disclose certain regularly occurring fees and commissions in the offering materials the firm provided to retail investors.