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

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

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 ...

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 ...

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.

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

“More people are paying attention to credit risk than before, so it is true that the subset of investors that are being particularly prudent has increased,” says Alberto Cherubini, head of exotic ...

The sharp rise in interest rates is driving a record amount of investor dollars into cash products and other capital protected investments like principal protected structured notes and fixed indexed ...

Are you seeking high yields but worried about the risks of BDCs and REITs? You aren’t alone. Andrew Ross Sorkin recently published an article in the New York Times’ Deal book discussing a popular Reit ...

WASHINGTON, May 19, 2026--(BUSINESS WIRE)--Consistent with its mission of investor protection, FINRA announced today that it will review firm practices regarding higher-risk structured products, ...