The SEC is Nervous About Options

Mar 19, 2018 10:52:54 PM / by Bo J. Howell posted in 1933 Act, Investment Advisers, LJM Fund, Options, SEC Updates, 1940 Act, Derivatives, Directors/Trustees

Why is the SEC nervous?

On February 23, 2018, Commissioner Kara M. Stein gave a speech at SEC Speaks in Washington, DC. During the speech, Commissioner Stein raised broad ethical and economic considerations regarding the rapid advances in financial product innovation, which appears to be accelerating as financial firms increasingly use technology to expand their product line and deepen their reach into retail markets.

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