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