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Regulators train a close eye on alternatives
The SEC and Finra are getting tough on broker-dealers, putting intense focus on those recommending and selling alternative investments, including nontraded REITs. Don't Miss: Our full look at the SEC's 2014 priorities
New details on Allianz's latest annuity product
The life insurer unveiled more on its plans for the structured-product annuity in a regulatory filing this week.
Structured products gain favor
More insurers are turning to structured products to protect themselves from market risk while staying in the annuity game.
Structured-note returns too good to be true?
Here is an investment that sounds just too good: Investors get 150% of the upside of the stock market but just 90% of the downside.
Finra adds BDCs, leveraged ETFs to focus for 2013
Finra will continue to zero in on yield-oriented products this year, but also will focus on business development companies, exchange-traded funds and products that use leverage — along with automated investment advice.
Advisers feeling more secure about unsecured notes
If the Fed's ongoing low-interest-rate policy has accomplished nothing else, it has at least given the structured products industry some new talking points for financial advisers and their clients. Apparently, the unsecured debt instruments known as structured notes are poised to surpass
SEC blasts B-Ds over sales of reverse convertibles
Broker-dealers have been engaging in sales practices for structured securities products that hurt retail investors, according to a Securities and Exchange Commission report.
Finra to investors: Watch out for these hot investments
Regulator issues alert about structured products, bank loan funds; ‘significant recent inflows'
Creating a structure for making gains while minimizing risk
The recovery of the stock market in the last two years has been driven by investors willing to take on risk again
Structured products' Catch-22
MORE DISCLOSURE MINIMIZING MARKET RISK NEED FOR GENERICS The boundless adaptability of structured products is part of what makes these complex alternative investments so appealing. But it also makes them controversial. In the current market environment — represented by low interest rates,
UBS, Morgan Stanley subpoenaed over reverse convertibles
Georgia requested information from UBS, Morgan Stanley and Ameriprise Financial in its probe over whether the firms broke the state's securities laws in sales of structured notes called reverse convertibles.
Regulators warn about principal-protected notes
Worried about the increasing number of retail investors jumping into complex financial products, securities regulators warned last week that structured notes with principal protection aren't risk-free
Ketchum warns that Finra is focusing on 'hot' investment
Just as financial advisers are embracing alternative investments as a way to generate income for clients, their chief regulator is warning them of the perils of one such type of offering: structured products
The latest wrinkle in cash alternatives
With interest rates hovering near zero, it shouldn't surprise financial advisers that the structured-products industry has been promoting its cash management alternatives
Sour notes from Lehman haunt UBS
UBS Financial Services Inc. is still feeling the pinch from lawsuits over its sale of structured notes issued by Lehman Brothers Holdings Inc. before it filed for bankruptcy protection in September 2008
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February 27, 2014