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 ...
The firm reached a confidential agreement with the Jannetti family in its case involving a $133 million FINRA arbitration ...
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.
FINRA will examine how firms supervised worst-of structured notes from 2022 through last year, focusing on best interest ...
Cerulli Associates' recent report predicts substantial growth for structured notes, debt securities linked to underlying assets, in the upcoming year, prompting advisors to take heed of this emerging ...
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 ...
Question: We have over $500,000 invested with a certified financial planner (CFP) we like — most of it in very safe bonds to generate a little income. We are also into structured notes that generate ...
Structured investments, also known as structured notes, are a combination of a bond, which can provide downside protection, and a derivative, which provides leveraged upside benefits, allowing ...
More investment advisors are finding a place in their clients’ portfolios for structured notes, according to leading alts provider CAIS. In a statement Thursday, CAIS said it’s registered a spike in ...
SpiderRock Advisors and Luma Financial Technologies have partnered up to offer clients technology and analysis tools to make it easier for advisors to access structured notes along with structured ...
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" ...
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