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

Alternative investments do not correlate with the stock market and can produce gains when the overall market is down. Structured notes are one of the available alternative investments. These ...

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

Structured products, also called structured notes, are customized versions of existing investments. A recent example is this offering from Morgan Stanley MS. Sold in June 2022, the company’s ...