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Finra targets complex, interest-rate-sensitive investments in 2014 exams – InvestmentNews



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Finra targets complex, interest-rate-sensitive investments in 2014 exams
InvestmentNews
Nontraded real estate investment trusts, complex structured products, emerging-markets investment funds, mortgage-backed securities, long-duration bond funds and municipal securities are among Finra's priorities in its monitoring program, according to ...
Regulators Target 'High Risk' BrokersMainStreet

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