In the News

Issuers Balk At FINRA 'Complex' Proposal,

April 05, 2022

The Financial Industry Regulatory Authority (FINRA) is accepting public comments on a proposed rule that could drastically change how new exchange-traded funds (ETFs) are treated and how easily retail investors can trade them - a move that is drawing fire from some sectors of the industry.

Speaking with, partner John McGuire stated that “complex problems that created market risk” that SEC Chairman Gensler commented on are a “far cry from what FINRA is talking about, saying these are things that investors may not understand.”

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