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 ...

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 ...

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, ...

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 ...

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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 ...

Noah’s Ark was a biblical port in the storm, providing shelter as a vengeful God wreaked havoc with devastating floods. Today’s ARK is not only sinking in the face of higher interest rates, it may ...

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 ...

Across the pond, Barclays' shares dropped 3.7% on Monday after the bank revealed it would incur an earnings loss due to issuing an excess of structured notes. The bank forecasts a £450 million ($590 ...

The alternative investments platform, YieldStreet has just launched two new structured note portfolios to its list of investment offerings. Structured notes are hybrid securities that are issued as ...

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.