FINRA Focus Areas: Communications, Reg BI and Complex Products
Oyster Stew - A Broth of Financial Services Commentary and Insights
Oyster Stew - A Broth of Financial Services Commentary and Insights
FINRA Focus Areas: Communications, Reg BI and Complex Products
May 06, 2024
Oyster Consulting, Casey Dougherty, Dean Pelos, Sarah Sutton, Ed Wegener

In today’s our experts discuss an area where FINRA spends a lot of resources – Communications and Sales.  We’ll look at challenges our clients are facing and best practices when it comes to:

·       Communications with the Public and Advertising

·       Reg BI and its focus on the Care Obligation

·       Complex Products, from variable annuities to private placements


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