Law360, New York ( January 31, 2012, 2:40 PM EST) -- On Jan. 17, 2012, the Financial Industry Regulatory Authority issued Regulatory Notice 12-03 ("notice") regarding a member firm's obligation to impose heightened supervision of retail sales of complex products. The notice does not attempt to define what a complex product is; it merely identifies some of the characteristics that may cause a product to be deemed complex and thus subject to heightened supervision....
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