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.

SPi data shows the structured note market reached $194 billion in 2024, a milestone that underscores how quickly these products are moving into broader advisor use. But as adoption accelerates, the ...

Pricing details have emerged on the $36 billion of investment-grade structured notes being shopped around by Apollo and Blackstone to private credit investors as part of a deal to purchase and then ...