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.

Discover the 10 key steps in developing new financial products, from concept to market launch, to understand their journey to ...

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 ...

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 ...

The software landscape becomes more competitive every day. New entrants promise “game-changing” technology, and behemoths constantly launch new features. Customer needs keep expanding and evolving, ...

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 ...

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 ...

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 ...