Regulatory Release: FINRA NTM 17-32 (Volatility-Linked Exchange Traded Products)

FINRA NTM 17-32 (Volatility-Linked Exchange Traded Products)

“Volatility-linked ETPs are complex products that are not suitable for all investors. Firms are reminded of their obligation to vet complex products, to put reasonable supervisory controls in place, and to train their registered representatives and supervisors to ensure that suitability and other obligations under FINRA rules are met.”

https://www.finra.org/sites/default/files/notice_doc_file_ref/Regulatory-Notice-17-32.pdf

https://www.finra.org/sites/default/files/notice_doc_file_ref/Regulatory-Notice-17-32.pdf