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<p><span>Thank you Thanos [Papasavvas], for that kind introduction, and thanks to all of you for inviting me here today.</span></p>
Yes, (somehow) it is that time of year again. FINRA recently released its 2023 Report on its Examination and Risk Monitoring Program (the “Report”). As is typical (and this blog has...
FINRA recently provided an update on the August 2021 review of its members’ practices and controls related to the opening of options accounts and related areas, including account...
Regulators tend to show the most interest in protecting retail investors.
The guide puts emphasis on equity and index options.