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 ...

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 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 ...

Alternative investment platform CAIS has launched a new division that will bring together all its existing structured investment products and provide end-to-end services for independent advisors who ...

Please provide your email address to receive an email when new articles are posted on . With stock market volatility likely to remain high until the COVID-19 crisis ends, many investors have become ...

Fish and Fowl Today's column is something different. Rather than advance an argument, as this space customarily does, it describes an investment type: structured notes. Normally, I leave investment ...

The following post was written and/or published as a collaboration between Benzinga’s in-house sponsored content team and a financial partner of Benzinga. Passive income, one of the most sought-after ...

Information from structured notes platform Luma Financial Technologies will now be available to Morningstar Advisor Workstation subscribers, according to a recent announcement. The two signed an ...

Occasionally I see financial products spring from the dead to devour investor dollars. One such product is called a "structured note." Structured notes are like bonds, only linked to derivatives.

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

Please provide your email address to receive an email when new articles are posted on . With stock market volatility likely to remain high until the COVID-19 crisis ends, many investors, including ...