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 ...

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

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 said on Tuesday that it will review how firms supervise their concentrations in higher-risk structured products, specifically non-principal protected ...

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” ...

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

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.

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 ...

Structured products debate: presents a range of new challenges for providers and distributors of structured notes. Representatives of leading structured products houses discuss those challenges, and ...