FINRA has announced a new targeted examination of member firm practices relating to the supervision of customer concentration in non-principal protected “worst of” structured notes — a higher-risk ...

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. Firms whose brokers advise their ...

On May 19, 2026, FINRA announced a targeted review of member firms’ practices relating to the supervision of non-principal-protected “worst-of” structured notes, which it has identified as higher-risk ...

The Financial Industry Regulatory Authority said on Tuesday that it will review how firms supervise their concentrations in higher-risk structured products, specifically non-principal protected ...

TALLAHASSEE, Fla. (WCTV) - The 4p and 10p newscasts are set to be streaming only for some days this week and next week due to various network sports coverage. Eyewitness News at 4 is expected to ...

SERVPRO and KWQC surprised Elise Ward with the Hometown Hero award in recognition of her service to children in Scott County. After nearly two years behind closed doors, the Herbert Hoover ...

This is a programming note that I am completely offline for the Passover holiday Thursday and Friday. I am likely not going to schedule any stories, I apologize (still in recovery mode). I will be ...

Omnes and Apex plan to issue a tokenized Bitcoin mining debt note on Base, giving eligible non-US investors exposure to hashrate-linked returns. Financial technology company Omnes and financial ...

Citi has issued its inaugural digitally native structured note on Euroclear's Digital Financial Market Infrastructure (D-FMI) Distributed Ledger Technology (DLT) Platform This type of transaction is a ...

Haselkorn & Thibaut wins $1.28M FINRA award against Fidelity over structured note losses, intensifying its investigation into Vora Wealth Management strategies. PALM ...