The US regulator again singles out structured products and Rilas under Reg BI while adding references explicitly to short-dated options and single-stock ETFs.
The US Securities and Exchange Commission (SEC) has identified structured products and registered index-linked annuities (Rilas), among the different investments needed attention when it comes to broker-dealer examinations. They additionally placed greater emphasis on zero-days-to-expiration (0DTE) options and single-stock ETFs. The regulator’s fiscal 2027 examination priorities were published on 23 October, and they continue to emphasise scrutiny of complex retail products, as well as co