In FINRA, Investor Protection

On May 9th, AARP submitted a comment letter to the Financial Industry Regulatory Authority (FINRA) in response to its Request for Comment on the regulation of Complex Products.  AARP’s letter urges FINRA to review modernize its rules for complex products, particularly as they relate to self-directed broker-dealers, digital engagement practices (DEPs) and the definition of an investment “recommendation,” and financial incentives for broker-dealers to encourage their customer to transact in options and other complex products.  You can read AARP’s comment letter here.

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