In this issue of Structured Thoughts, we discuss:
..FINRA sanctions for a broker for failing to reasonably supervise sales of complex securities.
..NASAA’s report warning about the risks of leveraged and/or inverse exchange-traded funds.
..FINRA’s 2019 report on Examination Findings and Observations, describing effective practices that could help broker-dealers improve their compliance and risk management programs...
Please see full publication below for more information.