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

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

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 ...

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 ...

Peter Gratton, Ph.D., is a New Orleans-based editor and professor with over 20 years of experience in investing, economics, and public policy. Peter began covering markets at Multex (Reuters) and has ...

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 ...

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.

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

The Financial Industry Regulatory Authority is launching a review of how firms handle higher-risk structured products, including “worst-of” structured notes that can threaten principal investments.