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, ...

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 ...

A review of firms that deal in complex exchange-traded products — such as leveraged and inverse ETFs, as well as crypto-based products — found that firms need to make improvements in a variety of ...

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 ...

A screenshot from FINRA's annual conference in May 2022 displays CEO Robert Cook in conversation with SEC Chair Gary Gensler during a session at the event. Gensler’s agency has “an opportunity to ...

Based on concerns regarding complex products as expressed in Regulatory Notice 22-08, FINRA is seeking comments from member firms by May 9, 2022, including, how firms identify complex products, and ...

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 ...

The regulator is assessing the risks that may arise when retail investors purchase complicated investments without the help of a financial adviser. By Mark Schoeff Jr. As investors gain more access to ...

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 ...

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 ...