13 Oct 2025
Finra launches learning platform for crypto and blockchain technologies
Areas of focus include the structure of the crypto ecosystem and markets, considerations for firms interacting with crypto assets, and common fraud schemes involving digital assets
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.
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.
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.
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.
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.
02 Dec 2024
SRP in brief: index in focus
It was a busy week for the US index-linked annuity market, and elsewhere.
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.
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.
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.
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.
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.