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

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 ...

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.

The regulator will examine how firms supervised "worst-of" structured notes, with a focus on their compliance with best-interest standards.

While the vast majority of financial advisors have incorporated liquid alternative investments into their clients' portfolios, they may be ignoring one illiquid opportunity in the current environment.

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 ...

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 ...

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 ...

Structured notes, a debt security tied to underlying assets, is poised for growth over the next year, according to a new report by the research and consulting firm Cerulli Associates. Advisors should ...

NEW YORK--(BUSINESS WIRE)--CAIS, the leading alternative investment platform for independent financial advisors, registered a surge in demand for structured notes, also known as structured investments ...

A veteran financial advisor with Stifel Nicolaus & Co. Inc. is facing a rash of investor complains stemming from the sale of structured notes, the performance of which is typically tied to an ...