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.

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 ...

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, ...

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.

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 ...

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 ...

Peter Gratton, Ph.D., is a New Orleans-based editor and professor with over 20 years of experience in investing, economics, and public policy. Peter began covering markets at Multex (Reuters) and has ...

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

“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 ...

The sharp rise in interest rates is driving a record amount of investor dollars into cash products and other capital protected investments like principal protected structured notes and fixed indexed ...

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 ...