On 8 March 2022, the Financial Industry Regulatory Authority, Inc. (FINRA) issued Notice to Members No. 22-08 (NtM 22-08) to “remind members of their sales practice obligations” for complex products and options and to...more
4/22/2022
/ Broker-Dealer ,
Closed-End Funds ,
Comment Period ,
Complex Financial Products ,
Cryptocurrency ,
Emerging Markets ,
Exchange-Traded Products ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Products ,
Investors ,
Mutual Funds
The Securities and Exchange Commission (“SEC”) has traditionally recognized the value of market and issuer research to the investment decision-making process....more
For several years now, the Securities and Exchange Commission (“SEC”) has placed strict limitations on the composition of exchange-traded fund (“ETF”) creation and redemption “baskets.” Creation and redemption baskets are,...more