A broker-dealer settled FINRA charges for failing to implement a supervisory system reasonably designed to monitor the suitability of recommendations in complex, non-traditional exchange-traded products.
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A broker-dealer settled FINRA charges for failing to supervise a registered representative that engaged in unsuitable and unauthorized trading in a customer's account.
A broker-dealer settled SEC charges related to unsuitable recommendations, material misstatements, and misrepresentations to retail customers involving highly complex variable interest rate structured products.
The CFTC entered into a final agreement with two publicly-traded companies to settle charges for wheat futures price manipulation.
In response to a request for comment on FINRA Regulatory Notice 22-08, several industry organizations and a cohort of attorneys general submitted letters examining the merit of FINRA's proposal to further restrict retail investors' access to "complex products."