Regulation
20 May 2026
Finra fines New Jersey broker for supervisory failure over Rila
The broker recommended more than 100 registered index-linked annuity...
Regulation
19 May 2026
Finra launches review of worst-of structured notes
The US watchdog is conducting a review related to firms’ supervision...
Regulation
17 Dec 2025
Finra stresses compliance failures on Rila sales in annual report
The US regulator has identified several violations of Regulation Best...
Regulation
21 Nov 2025
US regulators tightens oversight on structured products amid complexity concerns
The regulator plans to probe the reasoning behind product selection,...
Events
26 Sep 2024
SRP Americas 2024: 'complex products' definition still pending
The late afternoon session of the Mayer Brown masterclass at SRP...
Regulation
20 Sep 2024
SEC charges broker-dealer with Reg-BI violations
The US regulator found that the advisor's structured note...