FINRA Launches Review of Higher-Risk Structured Products
The Financial Industry Regulatory Authority (FINRA) is conducting a review to assess how firms handle higher-risk structured products, particularly 'worst-of' notes that can threaten principal investments. The examination covers the period from January 2022 through December 2025 and focuses on compliance with Regulation Best Interest and FINRA rules.
Topics: FINRA Regulation Best Interest risk management structured notes