{"id":1012,"date":"2012-01-30T00:50:36","date_gmt":"2012-01-30T00:50:36","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2012\/01\/finra_tells_financial_firms_to"},"modified":"2012-01-30T00:50:36","modified_gmt":"2012-01-30T00:50:36","slug":"finra-tells-financial-firms-to","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/finra-tells-financial-firms-to\/","title":{"rendered":"FINRA Tells Financial Firms to Heighten Supervision of Complex Products"},"content":{"rendered":"

\t\t\t\tThe Financial Industry Regulatory Authority has put out a formal notice to stockbrokers to let them know that complex financial products must come under the focus of heightened supervision. According to the SRO, a complex product is one with numerous features that can impact its investment returns depending on different scenarios-especially if the average retail investor can’t be expected to easily comprehend what these features are and how they can lead to an investment return.<\/p>\n

Examples of complex products<\/a>: <\/strong><\/p>\n

\u2022\tInvestments linked to the way the markets perform, such as certain exchange-traded products that can expose investors to the volatility of the stock market and products that create leveraged or inverse exposure. <\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

The Financial Industry Regulatory Authority has put out a formal notice to stockbrokers to let them know that complex financial products must come under the focus of heightened supervision. According to the SRO, a complex product is one with numerous features that can impact its investment returns depending on different scenarios-especially if the average retail […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3739],"tags":[2524],"class_list":["post-1012","post","type-post","status-publish","format-standard","hentry","category-finra","tag-complex-products"],"yoast_head":"\nFINRA Tells Financial Firms to Heighten Supervision of Complex Products — Investor Lawyers Blog — January 30, 2012<\/title>\n<meta name=\"description\" content=\"The Financial Industry Regulatory Authority has put out a formal notice to stockbrokers to let them know that complex financial products must come under — January 30, 2012\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, 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