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 compliance ...

FINRA has announced a new targeted examination of member firm practices relating to the supervision of customer concentration in ...

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 ...

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 ...

Structured notes, also known as structured investments, are on the rise as financial advisors aim to increase returns while also aiming to mitigate risk across their clients’ portfolios. Structured ...

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 ...

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 ...