Month: December 2017

FINRA Releases Regulatory Notice Warning Member Firms of Volatility-Linked Exchange-Traded Products

STOCKBROKER LAW - Posted on

In Regulatory Notice 17-32 , FINRA recently articulated the grave risks to investors regarding the sale of Exchange Traded Products.  Typically, these products are linked by tracking short and mid-term VIX future indexes – a very risky and volatile investment and surely not a safe investment for the average investor.   Exchange Traded Products have resulted in […]

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