A firm settled FINRA charges for suitability and supervisory violations related to the sale of non-traditional and volatility-linked exchange traded products.
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A broker-dealer settled FINRA charges for failing to develop and implement a sufficient supervisory system over sales of non-traditional exchange traded products.
IOSCO examined members regulators' progress toward implementing suitability standards designed to prevent the mis-selling of complex financial products.
SEC Commissioner Kara Stein described the current exchange-traded product marketplace and discussed how regulators can best keep up with significant market developments.
FINRA published the findings of its broker-dealer examination program. The report is intended to aid firms in their efforts to bolster compliance with securities laws and regulations.