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

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

The firm reached a confidential agreement with the Jannetti family in its case involving a $133 million FINRA arbitration ...

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 ...

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 ...

While the vast majority of financial advisors have incorporated liquid alternative investments into their clients' portfolios, they may be ignoring one illiquid opportunity in the current environment.

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 ...

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 ...