Displaying 22 results
Regulators train a close eye on alternatives
The SEC and Finra are getting tough on broker-dealers, putting intense focus on those recommending and selling alternative investments, including nontraded REITs. Don't Miss: Our full look at the SEC's 2014 priorities
New details on Allianz’s latest annuity product
The life insurer unveiled more on its plans for the structured-product annuity in a regulatory filing this week.
Structured products gain favor
More insurers are turning to structured products to protect themselves from market risk while staying in the annuity…
Structured-note returns too good to be true?
Here is an investment that sounds just too good: Investors get 150% of the upside of the stock…
Finra adds BDCs, leveraged ETFs to focus for 2013
Finra will continue to zero in on yield-oriented products this year, but also will focus on business development…
Advisers feeling more secure about unsecured notes
With puny interest rates, structured notes gaining in popularity
Search for downside protection leads adviser to structured notes
Downside protection is the alternatives goal for a number of clients at adviser Ian Weinberg’s office. His search…
UBS, Morgan Stanley subpoenaed over reverse convertibles
Georgia requested information from UBS, Morgan Stanley and Ameriprise Financial in its probe over whether the firms broke the state's securities laws in sales of structured notes called reverse convertibles.
SEC blasts B-Ds over sales of reverse convertibles
Broker-dealers have been engaging in sales practices for structured securities products that hurt retail investors, according to a Securities and Exchange Commission report.
<b>Buzz:</b> Finra sounds the alarm about these three investments
Finra has warned investors about chasing yield with structured products, junk bonds and floating-rate bank-loan funds.
Structured products’ Catch-22
The boundless adaptability of structured products is part of what makes these complex alternative investments so appealing.
Regulators warn about principal-protected notes
Worried about the increasing number of retail investors jumping into complex financial products, securities regulators warned last week that structured notes with principal protection aren't risk-free
Creating a structure for making gains while minimizing risk
The recovery of the stock market in the last two years has been driven by investors willing to take on risk again
Ketchum warns that Finra is focusing on ‘hot’ investment
Just as financial advisers are embracing alternative investments as a way to generate income for clients, their chief regulator is warning them of the perils of one such type of offering: structured products
The latest wrinkle in cash alternatives
With interest rates hovering near zero, it shouldn't surprise financial advisers that the structured-products industry has been promoting its cash management alternatives
Finra to investors: Watch out for these hot investments
Regulator issues alert about structured products, bank loan funds; 'significant recent inflows'
Sour notes from Lehman haunt UBS
UBS Financial Services Inc. is still feeling the pinch from lawsuits over its sale of structured notes issued by Lehman Brothers Holdings Inc. before it filed for bankruptcy protection in September 2008
State securities cops target structured products, gold scams
Broker-dealers' sales of structured products, including private-placement notes and reverse convertibles, remain a top concern of state securities regulators, according to Joseph Borg, director of the Alabama Securities Commission.
Reverse convertible notes hot in low-yield environment
Investors snapping up the 10%-plus annual coupons on recent reverse convertible notes may be playing with fire, according to experts familiar with the stock-linked structured products.
Advisers steer clear of structured products
“There is only about 5% or 10% penetration among advisers ... we need to eat more of our own cooking," said Keith Styrcula.
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