ETF Edge: A Discussion of FINRA’s Proposed Regulation of “Complex Products”
March 28, 2022 at 17:36 PM EDT
Attorney Thomas Gorman from Dorsey Whitney, an expert on SEC enforcement, Dave Nadig, financial futurist at ETF Trends, and Kim Arthur, CEO at Main Management, discuss the Financial Industry Regulatory Authority’s (FINRA) recent warning regarding complex products and the risks they pose for...
