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 ...

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.

I always tell people to Google “structured notes” to see what comes up. The first page of search results is filled with FINRA warnings, stories of complexity, high fees and a lack of liquidity and ...

SpiderRock Advisors and Luma Financial Technologies have partnered up to offer clients technology and analysis tools to make it easier for advisors to access structured notes along with structured ...

A portfolio’s outcome is driven by a variety of factors on factors like commissions, time horizon, and asset classes, with strategy being a key determinant shaped by each manager’s risk tolerance.

Structured notes, a debt security tied to underlying assets, is poised for growth over the next year, according to a new report by the research and consulting firm Cerulli Associates. Advisors should ...

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 ...

Structured investments, also known as structured notes, are a combination of a bond, which can provide downside protection, and a derivative, which provides leveraged upside benefits, allowing ...

Structured notes, also known as structured investments, are on the rise as financial advisors aim to increase returns while also aiming to mitigate risk across their clients’ portfolios. Structured ...

While the vast majority of financial advisors have incorporated liquid alternative investments into their clients' portfolios, they may be ignoring one illiquid opportunity in the current environment.

NEW YORK, March 29 (Reuters) - Principal-protected notes, complex securities that are marketed as carrying a money-back guarantee, are starting to spring back to life after having lost much of their ...