Firms whose brokers advise their clients on a certain type of complex products known as structured notes should be prepared to answer questions about how and why they recommend the assets class. Finra ...

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 ...

Cryptocurrencies often make headlines for their price swings. For example, Bitcoin fell by over 70% from its November 2021 all-time high. To manage this volatility, investors are increasingly using ...

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 ...

More investment advisors are finding a place in their clients’ portfolios for structured notes, according to leading alts provider CAIS. In a statement Thursday, CAIS said it’s registered a spike in ...

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 ...

Information from structured notes platform Luma Financial Technologies will now be available to Morningstar Advisor Workstation subscribers, according to a recent announcement. The two signed an ...

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 ...

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 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. Firms whose brokers advise their ...