Insights by Tag:

Finra

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.

Market
Latest: Finra fines CS over inaccurate reports

03 Jul 2023

Latest: Finra fines CS over inaccurate reports

In this week's Latest, we focus on a penalty on Credit Suisse (CS), first US stock-linked structured certificates in Poland, US investors’ rising appetite for alternatives, J.P. Morgan's latest sustainable data solution and UBS' push in tokenisation.

Market
SRPInsight issue 24: deep barriers

30 Jun 2023

SRPInsight issue 24: deep barriers

Issue 24 of our e-mag is out and ready to download.

Market
Latest: Finra fines Schwab over disclosures on ETNs

22 Jun 2023

Latest: Finra fines Schwab over disclosures on ETNs

Schwab self-reported the issues with disclosures related to exchange-traded notes, which occurred from January 2016 to December 2020, to Finra.