The brokerage industry’s self-regulator is launching a so-called sweep exam looking at how firms are handling their compliance obligations on certain high-risk assets.

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 ...

For example, Deutsche Bank put out research in August 2006 that asked investors to consider the possibility that a systematic trading strategy could be run in such a way as to harness the market ...