Complex financial products continue to present difficult issues for the Commission. In many instances the products involved are so complex that is may be questionable if any amount of policies, ...

The Public Investors Advocate Bar Association called for the Financial Industry Regulatory Authority to strengthen rules on selling complex products and options—a category that could include leveraged ...

GOP members of the House Financial Services Committee say heightened regulation of retail investors sale of “complex products” and options could raise costs and unfairly limit retail investors’ access ...

NI (formerly National Instruments), headquartered in my hometown of Austin, Texas, is a company I've been following for a long time. In 2020, National Instruments shortened its name to 'NI' along with ...

On 8 March 2022, the Financial Industry Regulatory Authority, Inc. (FINRA) issued Notice to Members No. 22-08 (NtM 22-08) to “remind members of their sales practice obligations” for complex products ...

No matter how good generative artificial intelligence gets, consumers navigating the purchase of complex financial products will always demand the attention of expert human advisors, write Kevin ...

Attorney Thomas Gorman from Dorsey Whitney, an expert on SEC enforcement, Dave Nadig, financial futurist at ETF Trends, and Kim Arthur, CEO at Main Management, discuss the Financial Industry ...

The theme of the broker-dealer self-regulator's agenda this year is protecting the retail investors who have surged into the financial markets, Finra CEO Robert Cook said during a webinar. By Mark ...

More than 800 commenters expressed opposition to the regulator’s queries about whether it should limit access to complex products for self-directed retail investors. The regulator is considering rules ...

In the analog days of trading, regulators were concerned with finding instances of the good old-fashioned pump and dump, insider trading, or market timing schemes. But digital transformation has ...