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

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

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 ...

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.

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

Sales of structured products have slowed this year, possibly due to the U.S. Department of Labor’s fiduciary standard that is set to take effect next year. The total dollar amount of new issues of U.S ...

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 ...

(MoneyWatch) COMMENTARY As the director of research for the Buckingham Family of Financial Services, I've been asked by clients and advisors to analyze myriad structured products. I've yet to find one ...

Through Nasdaq Fund Network, in partnership with Luma Financial Technologies, structured products are becoming increasingly transparent and, as a result, an attractive investment vehicle that can ...

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