A broker-dealer settled FINRA charges for failing to review the suitability of investment recommendations in non-traded Real Estate Investment Trusts and for failing to timely respond to relevant customer complaints.
NASAA extended the comment period on proposed revisions to its Statement of Policy Regarding Real Estate Investment Trusts.
NASAA requested comment on proposed revisions to its Statement of Policy Regarding Real Estate Investment Trusts. The deadline for public comment is August 11, 2022.
A firm settled FINRA charges for suitability and supervisory violations related to the sale of non-traditional and volatility-linked exchange traded products.
A firm settled FINRA charges for failing to reasonably supervise a representative's alternative investment recommendations for certain customers.