Joshua Watts

Joshua Watts

BCLP

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FINRA Requests Information from Member Firms Related to the Sale of Complex Products by May 9, 2022

FINRA’s Request for Comments - Based on concerns regarding complex products as expressed in Regulatory Notice 22-08, FINRA is seeking comments from member firms by May 9, 2022, including, how firms identify complex...more

3/17/2022  /  Broker-Dealer , Comment Period , Complex Financial Products , Financial Industry Regulatory Authority (FINRA) , Regulatory Oversight , Request For Information , Retail Investors
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