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 ...

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 ...

Firms whose brokers advise their clients on a certain type of complex products known as structured notes should be prepared to answer questions about how and why they recommend the assets class. Finra ...

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 ...

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 ...

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 ...

For sell-side firms that can turn market data into usable insight quickly enough, it is becoming a distinct competitive ...

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Stifel, Nicolaus & Company Inc. has been ordered by an arbitration panel to pay a family of four investors more than $132 million for breach of fiduciary duty and negligence tied to risky investments ...

A new breed of derivatives hedges is underpinning an issuance boom in structured notes as investment banks increasingly turn to nonbank liquidity providers and hedge funds to absorb some of their ...