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

Discover the advantages of structured finance, its role in managing complex financing needs, and explore examples like CDOs, CDSs, and syndicated loans.

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" ...

Are you looking for an investment to diversify your portfolio? Structured products have a unique pricing model and can expose your portfolio to certain markets while mitigating some of the risks. They ...

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 ...

Many of you may have heard about so-called structured products, which are usually sold by banks to clients with a decent amount of capital (sometimes, to ...

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

Securitization has gotten a bad reputation lately. But the securitization process—taking debt and pooling it into a derivative whose value is based on the underlying assets—was meant to reduce risk.

(MoneyWatch) Over the past decade, structured investment products, also known as equity- or index-linked notes, have become increasingly common in the portfolios of retail investors. And this is not ...

The Structured Products market makes up nearly $11 trillion of U.S. public and private bond market debt. Banks employ financial engineering to transform a variety of assets, such as residential and ...

Amid concerns that retail investors may be harmed by high concentrations in risky structured products, the U.S. Financial ...

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