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, ...

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 ...

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 ...

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 ...

The platform automates complex feasibility studies and RFPs, allowing sales teams to handle 10x more technical inquiries without adding engineering headcount. By automating the routine technical ...