Structured notes offer investors options that are otherwise unavailable, but there’s reason to be wary of them. While structured notes do contain a bond element that’s generally considered safe, the ...

At first glance, a laddered approach to structured notes or buffered ETFs may seem like a strategy to manage risk and smooth returns over time. However, the accumulation of embedded gains, increased ...

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 ...

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 ...

Wall Street has long used worst-of structured notes to pay investors for a very specific risk, and now that same mechanism is ...

FINRA has announced a new targeted examination of member firm practices relating to the supervision of customer concentration in non-principal protected “worst of” structured notes — a higher-risk ...

On May 19, 2026, FINRA announced a targeted review of member firms’ practices relating to the supervision of non-principal-protected “worst-of” structured notes, which it has identified as higher-risk ...

As is often the case, the bureaucrats at FINRA are missing the point when it comes to brokers and their firms selling high-risk products like structured notes, which have the potential for high ...

The Financial Industry Regulatory Authority has launched a formal review of how broker-dealers supervise concentrated client positions in some of the structured products market's most complex ...

CHICAGO, July 24, 2025 (GLOBE NEWSWIRE) -- Advisors are seeking investment opportunities to strengthen portfolios and manage volatility, but have historically lacked the technology to evaluate ...