FINRA Focus Areas: Communications, Reg BI and Complex Products

Oyster Stew - A Broth of Financial Services Commentary and Insights

English - May 06, 2024 13:00 - 41 minutes - 28.5 MB - ★★★★★ - 7 ratings
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Previous Episode: Broker-Dealer Technology: Tomorrow's Platform Transformation Today

Next Episode: Modernizing FINRA Rule 4210: Impacts to Market Makers and the Role of Automation

In today’s our experts discuss an area where FINRA spends a lot of resources – Communications and Sales. We’ll look at challenges our clients are facing and best practices when it comes to:

· Communications with the Public and Advertising

· Reg BI and its focus on the Care Obligation

· Complex Products, from variable annuities to private placements

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