Friday, June 10, 2016

DOL Rule concerning Proprietary Products

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As I mentioned in the previous post, if you offer proprietary products, the new Department of Labor rules are about to rock your world, and ...

What does the new Department of Labor Fiduciary Rule mean to you?

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The new Department of Labor Fiduciary Rule is too complex to handle in one blogpost. But, I can still address the basics in a few words. As ...
Wednesday, January 13, 2016

High-Risk Low-Reward?

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Is it true that high risk = high reward? Maybe not. In a recent full-page ad in Forbes magazine Fidelity shows that between 1985 and 2015 te...
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Friday, August 28, 2015

Suitability Question - DPPs

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Let's look at a practice question concerning suitability and direct participation programs: If a customer on your book of business is...
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Suitability--the dreaded HOLD recommendation.

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As a registered representative, you have suitability obligations whenever you make a recommendation to a customer. A recommendation could in...
Tuesday, August 19, 2014

US Treasury also Issues FRNs or Floating-Rate Notes

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Even though buying a 2-year US Treasury Note was never a big risk, investors did face the risk of watching interest rates rise right after t...
Tuesday, August 12, 2014

SEC Announces securities fraud charges against the state of Kansas!

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First, let's see the press release from the Securities and Exchange Commission's website: Washington D.C., Aug. 11, 2014 — The Secu...