Regulators eye increased trading in complex products (CNBC)
FrontLine Compliance
Increasingly popular complex investment products have regulators concerned about the risks they pose for retail investors. FINRA, as well as the SEC, have been looking closely at the amount of trading in products that would be difficult for most retail investors to fully comprehend, including leveraged and inverse exchange-traded products, volatility-linked ETPs, structured products and defined outcome ETFs. FINRA recently issued a regulatory notice to its member firms on the issue, and FrontLine’s Founder and…
