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.

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 ...

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 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 ...

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 ...

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 ...