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 December 8, 2025, the French financial markets authority (Autorité des marchés financiers or AMF) issued an adaptation of its positions 2010-05 and 2013-12 governing the marketing of complex ...

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 ...

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 ...

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 ...