Structured Thoughts: News for the Financial Services Community, Volume 10, Issue 5

18 Oct 2019

In this issue of Structured Thoughts, we discuss:

  • FINRA sanctions for a broker for failing to reasonably supervise sales of complex securities.
  • NASAA’s report warning about the risks of leveraged and/or inverse exchange-traded funds.
  • FINRA’s 2019 report on Examination Findings and Observations, describing effective practices that could help broker-dealers improve their compliance and risk management programs.
Read our newsletter.


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