FINRA will continue to scrutinize complex products

01/5/2014 | ThinkAdvisor · InvestmentNews (free registration)

The Financial Industry Regulatory Authority plans to maintain focus on complex investment products during inspection of broker-dealers in 2014. FINRA says it is concerned about nontraded real estate investment trusts, emerging-market investment funds, mortgage-backed securities, long-duration bond funds and municipal securities.

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ThinkAdvisor · InvestmentNews (free registration)

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