Discover the advantages and risks of principal-protected notes (PPN), a fixed-income product that ensures your principal with ...

The brokerage industry’s self-regulator is launching a so-called sweep exam looking at how firms are handling their compliance obligations on certain high-risk assets.

Learn about investment notes, their types (Treasury, municipal, more), benefits, and risks, to make informed financial ...

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” ...

Structured Notes and Buffer funds are sleep-well-at-night products designed to protect investors from market drops. Brokers and nervous investors love them, despite their complexity and fees. Talk to ...

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 ...

“More people are paying attention to credit risk than before, so it is true that the subset of investors that are being particularly prudent has increased,” says Alberto Cherubini, head of exotic ...

Haselkorn & Thibaut wins $1.28M FINRA award against Fidelity over structured note losses, intensifying its investigation into Vora Wealth Management strategies. PALM ...

“People are struggling with the categorizations of complex and non-complex instruments,” says Anders Malm, a partner with Stockholm-based law firm Oreum, which provides legal advice and services to ...

NEW YORK, NY, UNITED STATES, February 23, 2026 /EINPresswire.com/ — National investment loss and securities law firm KlaymanToskes announces that investors ...