Fw: Finra intensifies scrutiny on fixed annuity sales

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Date: Mon, 5 May 2014 14:30:38 -0000

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Subject: Finra intensifies scrutiny on fixed annuity sales

Having trouble viewing this E-mail? Click here to view the online version. Highlights from this week’s edition News Finra giving B-Ds hard eye over annuity swaps The regulator is watching for red flags like cost to clients and fee disclosures as broker-dealers sell a bigger share of indexed annuities. UBS advisers stage mutiny to save branch manager American Pension Services, founder charged with fraud Wirehouses now recruiting bank brokers Why Nicholas Schorsch isn't deterred by RCAP's revenue drop Raymond James' chief compliance officer resigns Spotlight Take this job and value it Innovative financial planners are getting into career sounseling to help clients align their work with their desired lifestyle, while also staying on track financially. Opinion Are nontraded REITs too much of a good thing? Don't get too caught up in the good times while nontraded REITs are extremely lucrative and lose sight of proper client allocations. Treating technology with the same care as clients Where are all the female advisers? View the Full Issue This Week's Issue To view the full contents of this week's issue, click here. Past Issues April 27, 2014 April 20, 2014 | | Unsubscribe | Subscribe| Print Subscription | Contact Our Editor | Advertise Please do not reply back to this email address. This box is not monitored and you will not receive a response. For assistance please call our Customer Contact Center at 877-812-1589 or email us at: customerservice@investmentnews.com ©2014 InvestmentNews. All Rights Reserved. 685 Third Avenue, New York, NY 10017-4036