The brokerage industry’s self-regulator is launching a so-called sweep exam looking at how firms are handling their ...

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 ...

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 ...

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 ...

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 ...

In mid-May 2026, Toronto-Dominion Bank completed and announced several fixed-income offerings, added a range of complex structured notes, and saw Raymond James upgrade its rating to Outperform while ...

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 ...