15h
Schwab to pay US$3.8m over negligence of complex products
The case brought by 15 investors centres on structured products,...
26 Feb 2026
From desk to court: structured product cases in Finra awards 2025
We look at 2025 Finra arbitration cases where structured products...
20 Feb 2026
Finra eases retail performance projections ban
Proposed amendments would let firms include forward-looking return...
19 Feb 2026
Fidelity hit with US$1.3m penalty over structured notes
A Finra arbitration panel has held the brokerage house liable for...
17 Dec 2025
Finra stresses compliance failures on Rila sales in annual report
The US regulator has identified several violations of Regulation Best...
08 Dec 2025
Structured products face headwinds as risk appetite wanes: Survey
NFCS data show ownership of structured notes falling to 5 percentage,...
05 Nov 2025
Finra penalises First Trust for gifts violations
Finra Rule 2341 prohibits member firms from making payments or offers...
13 Oct 2025
Finra launches learning platform for crypto and blockchain technologies
Areas of focus include the structure of the crypto ecosystem and...
06 Oct 2025
GSR moves to acquire SEC-registered broker-dealer firm
The transaction is intended to expand GSR’s US services and develop...
02 Oct 2025
SRP Americas 2025: opening the door for innovation
US regulators are pinpointing the increasing degree of complexity in...
25 Sep 2025
Finra greenlights corporate debt trading on ATS platform
The company also aims to develop tokenised debt and structured...
22 Jul 2025
US regulation: uncertain tax policies, potential tariff impacts and evolving bank rules
The latest industry webinar on the US structured investment product...