What are the regulations for selling structured products?

In Washington, the regulations for selling structured products are governed by the Alternative Investment Law. This law is intended to provide protection for consumers who are investing in complex financial instruments, such as structured products. Under the Alternative Investment Law, those who wish to sell structured products must be registered with the Washington State Department of Financial Institutions (DFI). The registration process requires that the seller submit a registration and fee to the DFI. Upon receipt of the required documents, the DFI will review and approve the application. Furthermore, the law requires that any seller of structured products must provide investors with important information about the structured product being sold. This includes information about the company offering the investment, the risks associated with the product, and any potential conflicts of interest that may exist. Sellers of structured products must also disclose any commissions or fees they may receive for the sale of the product. Finally, the Alternative Investment Law requires that all structured products sold in Washington be subject to an independent review and assessment by an independent expert. This can help ensure that investors receive a thorough review of the product they are investing in and are made aware of any potential risks associated with it.

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What are the regulations for selling structured products?

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