In This Issue:
Complex Products and Conducting a Reasonable Basis Suitability Review; Guidelines for Presenting Backtested Performance Data; IOSCO Final Report on Principles for Financial Benchmarks; Protect Your...more
In This Issue:
Additional SEC Guidance on Estimated Value Disclosures; FINRA to Continue Its Focus on Structured Products; FINRA’s Ketchum Discusses Structured Products; FINRA Issues Q&A Guidance on New Communications...more