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.

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 ...

WASHINGTON, May 19, 2026--(BUSINESS WIRE)--Consistent with its mission of investor protection, FINRA announced today that it will review firm practices regarding higher-risk structured products, ...

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 ...

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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 ...

A portfolio’s outcome is driven by a variety of factors on factors like commissions, time horizon, and asset classes, with strategy being a key determinant shaped by each manager’s risk tolerance.

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 alternative investments platform, YieldStreet has just launched two new structured note portfolios to its list of investment offerings. Structured notes are hybrid securities that are issued as ...

Given the current market and the fact that 10-year Treasury rates still linger below 2%, it can be difficult to find investments that offer some degree of volatility protection without major sacrifice ...