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

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, ...

"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 ...

You can find original article here WealthManagement. Subscribe to our free daily WealthManagement newsletters. The Financial Industry Regulatory Authority is launching a review of how firms handle ...

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 ...

“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 ...

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” ...

Are you looking for an investment to diversify your portfolio? Structured products have a unique pricing model and can expose your portfolio to certain markets while mitigating some of the risks. They ...

Structured notes, long the preserve of banks’ equity derivatives desks, are getting a fixed-income makeover. Banks are investing heavily to overhaul their structured note operations to re-gear them ...

TOPEKA, KS / ACCESSWIRE / December 11, 2024 / National investment loss and securities lawyers KlaymanToskes issues an important notice to customers of AE Wealth Management after the brokerage firm's ...