Finra exams find fault with sales of variable annuities, nontraded REITs and private placements
December 11, 2018 by Greg Iacurci
Variable annuities, nontraded REITs and private placements are among the primary areas in which brokerage firms and their representatives have demonstrated lax compliance, according to a new Finra report detailing recent examination findings.
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Originally Posted at InvestmentNews on December 7, 2018 by Greg Iacurci.
Categories: Industry Articles