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 ...
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 ...
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 ...
FINRA opened for comments on a potential rule to regulate “complex products,” and investors made their feelings crystal clear. More than 800 commenters expressed opposition to the regulator’s queries ...
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 Monetary Authority of Singapore (MAS) has proposed new measures to improve investor disclosures and simplify regulatory requirements for complex financial products, in a move aimed at balancing ...
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