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February 7, 2013
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Advocating Direct Investments through Education

  Top Stories 
  • offers solution to liquidity needs
    With many closed nontraded real estate investment trusts unable to meet liquidity demands from shareholders, REITbid, a newly launched website, offers a marketplace for financial-advisory clients to get more back earlier for their shares. The site, owned by Share Trading Associates in Newport Beach, Calif., comes in response to industry demand for a platform that achieves fairly priced liquidity. Financial Advisor online (2/4) LinkedInFacebookTwitterEmail this Story
  Policy Update 
  • FINRA wants easier background check on advisers and brokerages
    The Financial Industry Regulatory Authority proposed a rule to make it easier for investors to investigate the background of financial advisers and brokerages. The rule would require websites of companies regulated by FINRA to link to the agency's online database BrokerCheck. Reuters (2/1) LinkedInFacebookTwitterEmail this Story
  • SEC enforcement cases stymied by conflicts of interest
    The Securities and Exchange Commission is finding it tougher to enforce its rules as its commissioners recuse themselves from many decisions because of conflicts of interest. An analysis found at least 20 companies regarding which one or more SEC commissioners can't cast votes, and that number is likely to increase as the Dodd-Frank Act expands the body's regulatory scope. Enforcement decisions made by a reduced panel of commissioners face greater criticism from judges and defendants, experts say. The Wall Street Journal (2/4) LinkedInFacebookTwitterEmail this Story
  Industry News 
  • Financial leaders are open to voluntary cybersecurity standards
    Financial industry executives are among CEOs who support voluntary adoption of cybersecurity standards, according to a survey by Sen. Jay Rockefeller, D-W.Va. He is using the survey to point out a difference of opinion between executives and the U.S. Chamber of Commerce, which worked last year to defeat a bill on voluntary cybersecurity standards. The Wall Street Journal (1/30) LinkedInFacebookTwitterEmail this Story
  Income Planning 
  • Nontraditional investments see big increases, survey finds
    Alternative investments have seen a surge in assets during the past year, according to Pensions & Investments' Top 200 retirement-plan survey. For the year that ended Sept. 30, real estate investment trusts totaled $3.6 billion, a 44% increase; Treasury Inflation-Protected Securities reached $8.7 billion, up 19%; and commodities increased 60%, to $800 million. Gains in all three categories outpaced gains from the year before. Pensions & Investments (free registration) (2/4) LinkedInFacebookTwitterEmail this Story
  • Research reveals surge in investable assets for U.S. households
    Financial advisers might find it a challenge to meet increased demand for retirement-income planning as investable assets held by heads of households older than 55 reach $22 trillion by 2020, according to industry-funded research group LIMRA. "With such a large demand, advisers may have to provide income product solutions more efficiently," said Jafor Iqbal, associate managing director of LIMRA Retirement Research. (2/4) LinkedInFacebookTwitterEmail this Story
  • Regulators worry about new annuities
    Contingent deferred annuities come with the promise of lifetime income with lower fees than variable annuities, but some state regulators are concerned about whether these promises are realistic. That is complicating sales for companies that want to market the annuities nationwide. The Wall Street Journal (2/3) LinkedInFacebookTwitterEmail this Story
  Business Best Practices 
  • Broker-dealers explore ways to attract advisers
    The future of the broker-dealer industry was high on the discussion agenda at the OneVoice conference. It was noted that broker-dealers are exploring ways to lure advisers, including offering practice-management departments and funds to buy practices. "It's more about partnerships -- it's not just about service," said Jon Henschen of Henschen & Associates. "It is not enough to just process business and supervise it." Financial Advisor online (1/31) LinkedInFacebookTwitterEmail this Story
  IPA Member Information 
  • IPA announces third e-learning course
    The Investment Program Association is excited to announce the launch of E-learning Course 3: Investing in Non-Traded REITs. This course joins E-learning Course 1: Fundamentals of Direct Investments and E-learning Course 2: Introduction to Portfolio Construction and Management With Direct Investments to further expand high-level, comprehensive education for advisers and support staff in the broker-dealer and sponsor communities. View all three CE-approved courses. LinkedInFacebookTwitterEmail this Story
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Failure changes for the better, success for the worse."
--Seneca the Younger,
Roman philosopher, statesman and playwright

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