ARTICLE
6 November 2019

Structured Thoughts: News For The Financial Services Community, Volume 10, Issue 5

MF
Morrison & Foerster LLP

Contributor

Known for providing cutting-edge legal advice on matters that are redefining industries, Morrison & Foerster has 17 offices located in the United States, Asia, and Europe. Our clients include Fortune 100 companies, leading tech and life sciences companies, and some of the largest financial institutions. We also represent investment funds and startups.
FINRA sanctions for a broker for failing to reasonably supervise sales of complex securities.
United States Finance and Banking

In this issue of Structured Thoughts, we discuss:

  • FINRA sanctions for a broker for failing to reasonably supervise sales of complex securities.
  • NASAA's report warning about the risks of leveraged and/or inverse exchange-traded funds.
  • FINRA's 2019 report on Examination Findings and Observations, describing effective practices that could help broker-dealers improve their compliance and risk management programs.

Read our newsletter.

Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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