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 ...

WASHINGTON, May 19, 2026--(BUSINESS WIRE)--Consistent with its mission of investor protection, FINRA announced today that it will review firm practices regarding higher-risk structured products, ...

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 ...

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 ...

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 ...

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.

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 ...

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 ...

Luma Financial Technologies, a Cincinnati-based alternative investment platform, and SpiderRock Advisors, a Chicago-based provider of options strategies in the wealth market, have formed a new ...