The brokerage industry’s self-regulator is launching a so-called sweep exam looking at how firms are handling their ...

The firm reached a confidential agreement with the Jannetti family in its case involving a $133 million FINRA arbitration ...

Forget investing, Wall Street is a marketing and sales machine. They've developed a real stinker of a product that at first glimpse appears like the answers to your prayers but really is just one more ...

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" ...

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 ...

Please provide your email address to receive an email when new articles are posted on . With stock market volatility likely to remain high until the COVID-19 crisis ends, many investors have become ...

Occasionally I see financial products spring from the dead to devour investor dollars. One such product is called a "structured note." Structured notes are like bonds, only linked to derivatives.

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 following post was written and/or published as a collaboration between Benzinga’s in-house sponsored content team and a financial partner of Benzinga. Passive income, one of the most sought-after ...

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FINRA will examine how firms supervised worst-of structured notes from 2022 through last year, focusing on best interest ...

Please provide your email address to receive an email when new articles are posted on . With stock market volatility likely to remain high until the COVID-19 crisis ends, many investors, including ...