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.

Industry leaders largely agree that “complex” products should not be gatekept, and think that doing so would negatively impact the entire industry, stalling innovation. Of concern specifically are ...

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 ...

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 ...

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 ...

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 ...

As product sales continue to be sold through independent channels, carriers are increasingly reliant on distributors.

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 ...

As products get smarter, product development gets harder. For example, automobiles are morphing into complex systems of embedded software, resulting in a bit of connected chaos when it comes to ...

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 ...