FINRA will examine how firms supervised worst-of structured notes from 2022 through last year, focusing on best interest compliance ...

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

Writers and educators are increasingly using structured note-taking and idea development systems to turn scattered thoughts into stronger, more original work. Methods range from physical-digital ...

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.

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 ...