The regulator will examine how firms supervised "worst-of" structured notes, with a focus on their compliance with best-interest standards.

The firm reached a confidential agreement with the Jannetti family in its case involving a $133 million FINRA arbitration ...

Here’s what to know when a legal settlement is paid over time rather than all at once and how it might affect your finances and your future Written By Written by Staff Money Writer, WSJ | Buy Side ...

Structured notes, also known as structured investments, are on the rise as financial advisors aim to increase returns while also aiming to mitigate risk across their clients’ portfolios. Structured ...

After a decade of near-zero interest rates smothering debt yields, a global pandemic that halted global supply chains, and a reopening that spurred red-hot inflation, investors would be forgiven for ...

Financial innovation has been a mainstay of economies for hundreds of years. Loans during ancient times, the creation of the stock market and the trading of various assets represent examples of how ...

Interviewing job candidates is a critical skill for business owners, and it’s not as easy as it may sound. Getting it right – meaning, to get the information you need in order to make the most ...

Consistent with its mission of investor protection, FINRA announced today that it will review firm practices regarding higher ...