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.

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 ...

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 ...

Download this practical guide from MarketReach for step-by-step tactics and guidance on creating effective marketing messaging for complex tech products To differentiate a B2B technology solution ...

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 ...

Expertise from Forbes Councils members, operated under license. Opinions expressed are those of the author. The software landscape becomes more competitive every day. New entrants promise ...

NEW YORK(Thomson Reuters Regulatory Intelligent) - The U.S. Securties and Exchange Commission will study investor risk posed by so-called complex investment products with an eye toward new regulations ...