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, ...

Like farmers uncertain about what crop to plant, the SEC and FINRA continue to cast about for ways to enhance their regulatory framework for “complex” products, particularly with regard to retail ...

Brokerage and fund trade associations caution against limiting the market for retail customers. Consumer group and state regulators say more oversight is needed to protect investors. By Mark Schoeff ...

Some ETF industry veterans are expressing concern that a recent Finra regulatory notice on “complex products” is vague and overly broad, and may stifle product innovation and investor recommendations.

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 ...

As financial advisers turn to complex products to help clients navigate volatile markets and rising interest rates, regulators are scrutinizing the investments more closely than ever. By Mark Schoeff ...

Industry leaders largely agree that “complex” products should not be gatekept, and think that doing so would negatively impact the entire industry, stalling innovation. Of concern specifically are ...

Stocks and bonds might not be enough to meet client expectations of their portfolios right now. That’s the worry that’s on the minds of advisors—and it’s leaving room for designers and distributors of ...

The SEC is making a concerted effort to tap into industry data to hone its examination and enforcement activities to ensure brokers and advisors are making appropriate recommendations to their clients ...