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 ...

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 ...

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 ...

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 ...

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 ...

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 ...