Wider Monitoring Key as Finra Doubles Down on Suitability
A bevy of new products are now in focus as Finra's latest examination priorities once again highlight suitability.
It's another year, and we have another letter — and podcasts — from the Financial Industry Regulatory Authority (Finra) detailing its examination priorities, and the various products upon which it has an especially beady eye.
Some of the new inclusions this year — such as alternative mutual funds and Real Estate Investment Trusts (REITs) — have caused a bit of consternation in the industry, while others are par for the course but still bear consideration.
The overarching focus, as always, is on
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