A firm settled FINRA charges for failing to detect that its representative recommended an unsuitable investment strategy.
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A firm settled FINRA charges for selling variable annuities without properly implementing the firm's written supervisory procedures on recommendations and sales.
A firm settled FINRA charges for failing to supervise its representatives' recommendations regarding variable annuities, mutual funds and 529 plans.
NFA adopted supervisory requirements and technical amendments concerning swap activities.
IOSCO issued a Consultation Report containing policy approaches to enhance protections for retail investors purchasing OTC leveraged products.