You can find original article here WealthManagement. Subscribe to our free daily WealthManagement newsletters. The Financial Industry Regulatory Authority is launching a review of how firms handle ...

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 ...

As is often the case, the bureaucrats at FINRA are missing the point when it comes to brokers and their firms selling high-risk products like structured notes, which have the potential for high ...

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 ...

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 ...

On May 19, 2026, FINRA announced a targeted review of member firms’ practices relating to the supervision of non-principal-protected “worst-of” structured notes, which it has identified as higher-risk ...

“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 ...

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” ...