Wealth managers use direct indexing, long-short strategies and structured notes to protect clients from concentration risk ...

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 ...

Discover how Equity-Linked Notes (ELNs) work, combining fixed income with equity returns. Learn their features, benefits, and ...

FINRA is conducting a targeted review of member firm practices related to the supervision of non-principal protected “worst-of” structured notes over a look-back period of 2022 through the end of 2025 ...

Stifel Financial has reached a confidential agreement to settle with investors who won a Financial Industry Regulatory Authority arbitration award in early 2025 related to former Stifel broker Chuck ...