FINRA will examine how firms supervised worst-of structured notes from 2022 through last year, focusing on best interest compliance ...

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 ...

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 ...

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

Structured notes are a complex form of debt that were previously reserved for institutions and ultra-wealthy individuals who had five figures to lay down. But technology has put these products within ...

The U.S. Structured Product Market has grown steadily over the past six years. Join to hear Marc Premselaar, senior managing director of capital markets at CAIS offer his perspective on how trends in ...

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

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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" ...