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January 10, 2013
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Advocating Direct Investments through Education

  Top Stories 
  • Financial advisers turn bullish on investing in real estate
    Investing in commercial real estate turned out to be a profitable move in 2012, and financial advisers see promising opportunities in 2013 as the broad economy continues to recover. American Realty Capital Properties and Cole Real Estate Investments have enjoyed recent successes in the nontraded REIT space by focusing on triple-net-lease REITs. Other promising areas for investment include multifamily, local shopping centers with grocery store anchors and REITs that invest in mortgages, advisers say. InvestmentNews (free registration) (1/6) LinkedInFacebookTwitterEmail this Story
  Policy Update 
  • FINRA solicits comments on its bonus-disclosure proposal
    The Financial Industry Regulatory Authority has started seeking comments about its proposal that would require brokers to disclose their signing bonuses when they move from one company to another. Richard Ketchum, chairman and CEO of FINRA, would like to see the measure in place by summer. Some in the industry are opposed to the plan. Reuters (1/8), The Wall Street Journal (1/8) LinkedInFacebookTwitterEmail this Story
  • SEC adds political-disclosure measure to its agenda
    The Securities and Exchange Commission says it hasn't yet determined whether to propose a rule requiring firms to disclose their political activities, but proponents of such a rule say they're increasingly confident the SEC will issue a recommendation. The rule was recently put on an April timeline, a move that observers say would be strange if the SEC were not planning to press ahead with a proposal. Bloomberg (1/7) LinkedInFacebookTwitterEmail this Story
  Industry News 
  • Direct-lending funds spark investors' interest
    Investors scouting for more yield are starting to take interest in direct-lending funds. The funds make loans to medium-sized companies, and many have seen returns ranging from 10% to 14% in recent years. Potential downsides include high fees and lack of liquidity. The Wall Street Journal (1/4) LinkedInFacebookTwitterEmail this Story
  • REITs had banner year because of low prices, short supply
    Investors' demand for higher yields, low property prices and tight supplies combined to make real estate investment trusts the strongest asset class in 2012. Stephen Blank, a senior resident fellow with the Urban Land Institute, said real estate also has been proven to be valuable in diversifying investor portfolios. AdvisorOne (1/6) LinkedInFacebookTwitterEmail this Story
  Income Planning 
  • Report: Sales of income annuities reached record high in Q3
    Income annuities saw record-high sales of about $2.4 billion in the third quarter, an increase of 3.8% over the previous quarter and 6.7% from the third quarter of 2011, according to Beacon Research and Morningstar. Sales of indexed annuities remained relatively steady for the third quarter, while variable-annuity sales fell 4.9% from the previous quarter and 7.2% year-over-year, data show. Net third-quarter sales of variable annuities, however, were up 44.3% from the second quarter, and net assets of the products reached a record $1.62 trillion in the third quarter. Employee Benefit News (1/8) LinkedInFacebookTwitterEmail this Story
  Business Best Practices 
  • Additional steps an adviser must take to secure client information
    Client information and client asset integrity have become topics in regulatory exams, writes Tom Giachetti, chair of the Securities Practice Group at Stark & Stark. Exam questions are presenting scenarios in which an adviser shares offices with unrelated individuals or entities, and situations in which vendors may have access to client information. Confidentiality agreements are key in these circumstances, Giachetti writes, including with outside parties such as landlords. AdvisorOne (1/1) LinkedInFacebookTwitterEmail this Story
  • Financial advisers need to delegate to make better use of their time
    Most financial advisers who own their businesses would be more productive if they delegated some of their tasks to others. The best use of a financial adviser's day is generally agreed to be face-to-face time with clients. A study by Rough Notes found that small-business owners spend 52% of their time on back-office tasks and only 7% working directly with clients. Financial Advisor (1/2013) LinkedInFacebookTwitterEmail this Story
A blunder at the right moment is better than cleverness at the wrong time."
--Carolyn Wells,
American author and poet

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