FINRA Plan Seeks ‘Clearer Picture’ of Nonlisted REITs
The plan would require BDs to factor in fees and commissions when determining the share price.
Midstream Energy Infrastructure: A Growth Opportunity in a Low-Yield, Low-Growth World
Owning growing, high-quality midstream energy infrastructure investments will prove beneficial to investors' portfolios.
IRA Rollovers Among Hot Areas for FINRA Scrutiny in 2014
FINRA issued a letter Thursday detailing its top exam priorities for brokers this year.
Why Liquid Alts Are Good for Clients and Your Practice
Alternative mutual funds are enjoying increased acceptance in the advisor community.
Keeping the Right Focus
It's been a good ride recently for total-return investors. First, the S&P 500 rose 25.2% through early December; global stocks, as tracked by Morgan Stanley, improved 21.6% during the same period.
FINRA Bars Advisor Over Nontraded REIT Sales
Gary Chackman worked in the business for 22 years, including time with LPL Financial, AXA and Summit.
State Pensions Seek Higher Returns Through Alts
Ramped-up use of alternative investments has paid off for states, but sometimes it comes back to bite them.
You’re Outta Here: Big Jump in Advisors Barred by States
For the third consecutive year, private offerings were the products most often reported at the heart of state securities cases, NASAA said.
Roth on New Role at Realty Cap: ‘All About Opportunity’
The former head of AIG's Advisor Group says RCS is looking to build "a full-scale financial services model in the alternatives space."
5 Funds Newly Rated by Morningstar
Looking for a small cap, real estate, value or strategic equity fund? Here are five options with their first Morningstar ratings.