FINRA EXAMINATION FINDINGS AND STRUCTURED PRODUCT SALES -
On December 7, 2018, FINRA released its report describing its examination findings. A number of FINRA’s findings in the report directly relate to the structured products industry and should be carefully considered by both manufacturers and distributors of these products. The report repeats some of the concerns raised in FINRA’s related report in 2017, indicating that not all market participants have successfully embraced FINRA’s guidance.
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