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 ...
FINRA opened for comments on a potential rule to regulate “complex products,” and investors made their feelings crystal clear. More than 800 commenters expressed opposition to the regulator’s queries ...
A screenshot from FINRA's annual conference in May 2022 displays CEO Robert Cook in conversation with SEC Chair Gary Gensler during a session at the event. Gensler’s agency has “an opportunity to ...
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 ...
In the analog days of trading, regulators were concerned with finding instances of the good old-fashioned pump and dump, insider trading, or market timing schemes. But digital transformation has ...
Some results have been hidden because they may be inaccessible to you
Show inaccessible results
Feedback