Finra furthers US complexity debate

road-sign-arrow-tough-half-a-mile
Finra gets tough on complexity

The US Financial Industry Regulatory Authority (Finra) has issued a notice identifying characteristics of complex products. These features should establish whether a product should be subject to heightened supervisory procedures, according to the regulator.

Potentially complex products include those with an embedded derivative component or contingencies in gains and losses, structured notes with 'worst-of' features, inverse or leveraged exchange-traded funds and those tied to the performance of

Only users who have a paid subscription or are part of a corporate subscription are able to print or copy content.

To access these options, along with all other subscription benefits, please contact info@risk.net or view our subscription options here: http://subscriptions.risk.net/subscribe

You are currently unable to copy this content. Please contact info@risk.net to find out more.

Sorry, our subscription options are not loading right now

Please try again later. Get in touch with our customer services team if this issue persists.

New to Risk.net? View our subscription options

If you already have an account, please sign in here.

Register

Want to know what’s included in our free membership? Click here

This address will be used to create your account

You need to sign in to use this feature. If you don’t have a Risk.net account, please register for a trial.

Sign in
You are currently on corporate access.

To use this feature you will need an individual account. If you have one already please sign in.

Sign in.

Alternatively you can request an individual account here: