The brokerage industry’s self-regulator is launching a so-called sweep exam looking at how firms are handling their ...

Consistent with its mission of investor protection, FINRA announced today that it will review firm practices regarding higher-risk structured products, specifically non-principal protected "worst-of" ...

The firm reached a confidential agreement with the Jannetti family in its case involving a $133 million FINRA arbitration ...

The Financial Industry Regulatory Authority said on Tuesday that it will review how firms supervise their concentrations in higher-risk structured products, specifically non-principal protected ...

Question: We have over $500,000 invested with a certified financial planner (CFP) we like — most of it in very safe bonds to generate a little income. We are also into structured notes that generate ...

SPi data shows the structured note market reached $194 billion in 2024, a milestone that underscores how quickly these products are moving into broader advisor use. But as adoption accelerates, the ...

A portfolio’s outcome is driven by a variety of factors on factors like commissions, time horizon, and asset classes, with strategy being a key determinant shaped by each manager’s risk tolerance.

Structured notes are linked to a reference asset, the most common being equities but they can also cover various indices, interest rates, and currency, commodity, or property markets, as a few ...

Structured Notes and Buffer funds are sleep-well-at-night products designed to protect investors from market drops. Brokers and nervous investors love them, despite their complexity and fees. Talk to ...

The regulator will examine how firms supervised "worst-of" structured notes, with a focus on their compliance with best-interest standards.