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 ...

The software landscape becomes more competitive every day. New entrants promise “game-changing” technology, and behemoths constantly launch new features. Customer needs keep expanding and evolving, ...

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 ...

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 ...

If your company sells complex products &#8211 a category that can include anything from software to cellular phone service to toys that require assembly &#8211 you probably need specialized software ...