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 ...

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” ...

Firms whose brokers advise their clients on a certain type of complex products known as structured notes should be prepared to answer questions about how and why they recommend the assets class. Finra ...

The Financial Industry Regulatory Authority has launched a formal review of how broker-dealers supervise concentrated client positions in some of the structured products market's most complex ...

On May 19, FINRA announced that it will conduct a review of how certain member firms oversee and recommend higher-risk structured products, with a particular focus on non-principal protected “worst-of ...

“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 ...

FINRA has announced a new targeted examination of member firm practices relating to the supervision of customer concentration in non-principal protected “worst of” structured notes — a higher-risk ...