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The Financial Industry Regulatory Authority is looking at potential conflicts of interest and financial incentives stemming from sales of complex securities by major brokerages, the head of the Wall Street regulator said on Thursday. FINRA is looking “very closely” at the effects of incentive compensation, such as commissions, that might motivate brokers to sell certain complex securities, said FINRA Chief Executive Officer Richard Ketchum.

The Financial Industry Regulatory Authority is looking at potential conflicts of interest and financial incentives stemming from sales of complex securities by major brokerages, the head of the Wall Street regulator said on Thursday.

FINRA is looking “very closely” at the effects of incentive compensation, such as commissions, that might motivate brokers to sell certain complex securities, said FINRA Chief Executive Officer Richard Ketchum.

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