Regulators eye increased trading in complex products (CNBC)

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…

Read More

ComplianceAlert

Take Action on the New Marketing and Advertising Rule (Video)

The SEC’s new Marketing and Advertising Rule for investment advisers will require significant changes at firms. However, there’s some good news: the Rule is intended to bring its original compliance requirements up to speed with modern communications. And with the compliance date for the Rule on November 4th of this year, firms should be taking…

Read More

Climate-related rulemaking could face difficult path to finalization (CNBC)

The SEC’s newest rule proposal to require climate-related disclosures for investors seeks to add consistency to an area without clear regulatory standards. However, SEC rulemaking in the ESG area is bound to be both controversial and political in nature. In an interview with CNBC, FrontLine’s Founder and President Amy Lynch comments that there are several…

Read More

Crypto regulation is not a matter of “if” but “when” (FORTUNE)

Regulation of the cryptocurrency industry is almost a certainty, but how soon it will take shape is still to be determined. Fortune spoke with Amy Lynch, FrontLine’s Founder and President, to discuss the current stance of the SEC on the issue, and how new regulations would impact crypto companies’ bottom line. Wanting to protect investors…

Read More

SPAC failures raise questions on use of projections (The Wall Street Journal)

Many SPACs that went public during the pandemic are missing key revenue projections and are expected to fail in meeting their earnings targets. The SEC would likely consider new restrictions on the practice of SPACs using speculative projections of future growth to attract initial investors. Unlike IPOs, SPACs do not have regulations discouraging these types…

Read More