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 ...

Haselkorn & Thibaut wins $1.28M FINRA award against Fidelity over structured note losses, intensifying its investigation into Vora Wealth Management strategies. PALM ...

“People are struggling with the categorizations of complex and non-complex instruments,” says Anders Malm, a partner with Stockholm-based law firm Oreum, which provides legal advice and services to ...

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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.