Insights by Tag:

Finra

Market
GSR moves to acquire SEC-registered broker-dealer firm

06 Oct 2025

GSR moves to acquire SEC-registered broker-dealer firm

The transaction is intended to expand GSR’s US services and develop additional regulated capabilities for institutions.

Regulation
SRP Americas 2025: opening the door for innovation

02 Oct 2025

SRP Americas 2025: opening the door for innovation

US regulators are pinpointing the increasing degree of complexity in product spaces adjacent to structured products.

Products
Finra greenlights corporate debt trading on ATS platform

25 Sep 2025

Finra greenlights corporate debt trading on ATS platform

The company also aims to develop tokenised debt and structured products to meet specific investor demand.

Regulation
US regulation: uncertain tax policies, potential tariff impacts and evolving bank rules

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 landscape provided critical insights into market trends, regulatory priorities and future expectations.

Regulation
Fidelity hit with Finra claim over US$11.1m ETN loss

05 Feb 2025

Fidelity hit with Finra claim over US$11.1m ETN loss

The exchange-traded note (ETN) issued by Credit Suisse has caused a loss of US$11.1m after being ‘inappropriately’ recommended by an advisor on the Fidelity brokerage platform.

Market
SRP in brief: index in focus

02 Dec 2024

SRP in brief: index in focus

It was a busy week for the US index-linked annuity market, and elsewhere.

Regulation
Stifel slapped with US$2.3m penalty over structured notes sales

28 Nov 2024

Stifel slapped with US$2.3m penalty over structured notes sales

Finra’s penalty is directed to one of the firm’s advisor embroiled in a total of 20 customer disputes.

Regulation
US broker-dealer to recompense US$2m over XIV ETN sales

20 Nov 2024

US broker-dealer to recompense US$2m over XIV ETN sales

Finra has imposed sanctions on a Georgia-based broker-dealer over its mis-selling of XIV, a now-defunct exchange-traded note (ETN) issued by Credit Suisse.

Market
SRP in brief: Korea, Poland market reviews out

21 Oct 2024

SRP in brief: Korea, Poland market reviews out

The past week saw the release of two exclusive market reviews prepared by our SRP editorial team.

Regulation
US regulator fines broker-dealer for mis-selling structured notes

16 Oct 2024

US regulator fines broker-dealer for mis-selling structured notes

Stifel ordered to pay US$14.2m in Finra arbitration over failure to supervise recommendations of structured note investments.

Events
SRP Americas 2024: 'complex products' definition still pending

26 Sep 2024

SRP Americas 2024: 'complex products' definition still pending

The late afternoon session of the Mayer Brown masterclass at SRP Americas 2024 was led by counsel Brad Berman and partner Steffen Hemmerich – they discussed regulatory and compliance issues related to structured products, index providers, distributors and social media.

Regulation
JPM sued by Dropbox co-founder over US$1bn structured note sales

15 Aug 2024

JPM sued by Dropbox co-founder over US$1bn structured note sales

The former Dropbox executive is seeking to recover US$225m in damages from J.P. Morgan due to “exorbitant” undisclosed fees on 35 structured notes.