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

FINRA will examine how firms supervised worst-of structured notes from 2022 through last year, focusing on best interest ...

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 ...

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 ...

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

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 ...

Investors who want a trifecta of market exposure, decent upside and protection from losses might take a closer look at structured notes. These fixed income securities are a relatively new type of ...

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More investment advisors are finding a place in their clients’ portfolios for structured notes, according to leading alts provider CAIS. In a statement Thursday, CAIS said it’s registered a spike in ...