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

The regulator will examine how firms supervised "worst-of" structured notes, with a focus on their compliance with best-interest standards.

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, ...

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

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” ...

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 ...

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.

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 ...

“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 ...

Stifel Financial has reached a confidential agreement to settle with investors who won a Financial Industry Regulatory Authority arbitration award in early 2025 related to former Stifel broker Chuck ...