The Financial Industry Regulatory Authority (FINRA) published Regulatory Notice 10-51 reminding firms to make fair and balanced statements in its communication with the public on commodity futures-linked securities. They are reminded that the returns on such securities can often deviate from the returns on the underlying commodities to which they track.
In an effort to further educate public investors, SLCG has written...
The Financial Industry Regulatory Authority (FINRA) published Regulatory Notice 10-41 reminding broker dealers including municipal securities dealers to
fully understand the municipal securities they sell in order to meet their disclosure, suitability and pricing obligations under the rules of the Municipal Securities Rulemaking Board (MSRB) and federal...
The Financial Industry Regulatory Authority (FINRA) published Regulatory Notice 10-05 reminding firms of their responsibilities concerning deferred variable annuities. Annuities can carry costs and risks that many investors may not be aware of because brokers who are incentivized by commission-generation do not make them clear to investors. Costs...
