James Chen, CMT is an expert trader, investment adviser, and global market strategist. Gordon Scott has been an active investor and technical analyst or 20+ years. He is a Chartered Market Technician ...

Principal-Protected Notes are anything but protected FINRA says, and the SRO wants to make sure brokerages are making that clear to investors. In a regulatory notice this month, FINRA warned firms ...

Retirees and those close to retiring are seeking security as well as healthy investment income, and structured products such as principal-protected notes are meeting their needs by serving up an ...

The Securities and Exchange Commission told five big Wall Street banks last year to improve disclosures about structured notes that are mostly sold to retail investors, and criticized use of the term ...

In this issue: Principal Protected Note Tutorial from SEC and FINRA; FINRA Priorities; Why So Many Opinions? Exhibit 5.1 Opinions; Principles Applicable to Retail Structured Products Reaffirmed; ...

NEW YORK, March 29 (Reuters) - Principal-protected notes, complex securities that are marketed as carrying a money-back guarantee, are starting to spring back to life after having lost much of their ...