Continued SEC/FINRA “Complex” Product Concerns: Will Good Regulatory Harvest Arrive?

May 24, 2022 by Carlton Fields, Ann Began Furman

Like farmers uncertain about what crop to plant, the SEC and FINRA continue to cast about for ways to enhance their regulatory framework for “complex” products, particularly with regard to retail investor understanding. The regulators have been hampered by, among other things, the lack of any clear and consistent definition of what products should be regarded as “complex” for purposes of any such regulatory initiative.

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Originally Posted at JD Supra on May 20, 2022 by Carlton Fields, Ann Began Furman.