The brokerage industry’s self-regulator is launching a so-called sweep exam looking at how firms are handling their compliance obligations on certain high-risk assets.

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 ...

In late May and early June 2026, JPMorgan Chase & Co. issued a wide range of callable fixed, floating, and zero‑coupon notes ...

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 ...

Peter Gratton, Ph.D., is a New Orleans-based editor and professor with over 20 years of experience in investing, economics, and public policy. Peter began covering markets at Multex (Reuters) and has ...

Fidelity was ordered to pay $843,000 in compensatory damages to James and Tina Baldocchi and $445,000 to Kimberly Hosler and James Doorley, according to the FINRA panel’s award. The investors in both ...

Learn about investment notes, their types (Treasury, municipal, more), benefits, and risks, to make informed financial ...