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 ...

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 ...

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

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 ...

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 ...

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 ...

“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 ...

I always tell people to Google “structured notes” to see what comes up. The first page of search results is filled with FINRA warnings, stories of complexity, high fees and a lack of liquidity and ...