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February 28, 2013
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Advocating Direct Investments through Education

  Top Stories 
  • KBS' Schreiber discusses trends in nontraded REITs
    Listings on exchanges and mergers are among the most important trends in nontraded real estate investment trusts, Charles Schreiber, co-founder of KBS Realty Advisors, said in an interview. "All nontraded REITs should review market conditions to determine which method will be most beneficial to shareholders," he said. "The most common options to consider are an initial public offering, dispositions at the individual asset level, a portfolio sale or a merger with an existing entity." Commercial Property Executive (2/19) LinkedInFacebookTwitterEmail this Story
  Policy Update 
  • SEC outlines 2013 priorities for examiners
    This year, examiners at the Securities and Exchange Commission will focus on investment advisers who are dually registered as broker-dealers and those who work with hedge funds and private-equity funds. The agency outlined its examiners' priorities to ensure that advisers are not caught off guard. InvestmentNews (free registration) (2/22) LinkedInFacebookTwitterEmail this Story
  • Data don't support overhaul as SEC's engine of success
    The Securities and Exchange Commission has touted a record number of enforcement cases in the past two years, but data show that there were fewer cases filed in 2012 than in 2009, the year before the SEC was overhauled. Almost a third of cases mentioned by the SEC involved penalty administration in previously decided cases. The Washington Post (2/22) LinkedInFacebookTwitterEmail this Story
  • Analysis: Broker case shows FINRA's wide-ranging power
    In a dispute with the Financial Industry Regulatory Authority, broker Gregory Evan Goldstein has refused to turn over documents relating to a separate consulting business he operates, one that FINRA does not oversee. The regulator's decision to fine, suspend and threaten to bar Goldstein over the refusal is emblematic of the agency's power over its members. Reuters (2/22) LinkedInFacebookTwitterEmail this Story
  Industry News 
  • Ability to retire worries Americans, survey finds
    A poll by the National Institute on Retirement Security found that 55% of Americans are "very concerned" that the economy is undercutting their prospects for retirement. Meanwhile, 30% said they are "somewhat concerned" about whether they will be able to retire. The Washington Post (2/25) LinkedInFacebookTwitterEmail this Story
  Income Planning 
  • Survey: Investors look further afield at alternatives for growth
    Individual investors are on the lookout this year for higher returns and swiveling to alternatives such as metals, currencies and foreign equities, according to an EverBank survey. Such intention by a majority of respondents comes even as investors express confidence in U.S. equity markets. "We're seeing increased demand in products that give investors exposure to those diverse asset classes, but we believe that many investors can do more to diversify," EverBank Direct President Frank Trotter said. AdvisorOne (2/25) LinkedInFacebookTwitterEmail this Story
  Business Best Practices 
  • How to create a value proposition that clients can't refuse
    An advisory firm's unique value proposition sets it apart from its competitors and should be focused and relevant without using jargon, writes Ken Haman of the AllianceBernstein Advisor Institute. "Imagine that you have written the [unique value proposition] in big, block letters on a white billboard out on the highway," Haman writes. "All you get to write is the UVP and your telephone number. Imagine that lots of people will look at the billboard every day. Would anyone call?" Financial-Planning.com/Wealth of Ideas blog (2/20) LinkedInFacebookTwitterEmail this Story
  IPA Member Information 
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  SmartQuote 
Hate traps us by binding us too tightly to our adversary."
--Milan Kundera,
Czech writer


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