Finra Alternative Investments

FINRA Dispute Resolution Arbitration No. 08-04466 Award Page ...
FINRA Dispute Resolution Arbitration No. 08-04466 Award Pace 3 of 6 Claimants' request for relief pursuant to Florida's Securities and Investor Protection Act ... View Full Source

INVESTMENT ARCHITECTS, INC
INVESTMENT ARCHITECTS, INC. MEMBER FINRA/SIPC. Special Disclosures - for use with Alternative Investments. In accordance with the requirements of FINRA regarding suitability in special offerings, the following is provided for investors. ... Read More

DCS1076701 FINRA And SEC Priorities Overview - Deloitte US
SEC lists private funds, illiquid investments, and structured products; whereas, FINRA specifies several products including: interest ratesensitive fixed income securities and variable annuities, - alternative ... Get Document

ALTERNATIVE INVESTMENTS - Rld.state.nm.us
What is an alternative investment? There is no universally accepted definition of alternative investments, but the term typically refers to an investment in asset classes other than the traditional classes of stocks, bonds, cash, and cash equivalents. ... Content Retrieval

A Primer On Non-Traded REITs And Other Alternative Real ...
A Primer on Non-Traded REITs and other Alternative Real Estate Investments Tim Husson, PhD, Craig McCann, PhD, CFA, and Carmen Taveras, PhD1 In this paper we provide a brief overview of the ways to achieve real estate ... Document Retrieval

FS Investments Finances Acquisition Of Cadence Education
PHILADELPHIA, Sept. 6, 2016 /PRNewswire/ -- FS Investments, a leading alternative asset manager, announced the origination of a $120 million senior secured unitranche loan to support investment funds managed by Morgan Stanley Global Private Equity's acquisition of Cadence Education, ... Read News

Self-directed IRA - Wikipedia, The Free Encyclopedia
A self-directed Individual Retirement Account is an Individual Retirement Account (IRA), provided by some financial institutions in the United States, which allows alternative investments for retirement savings. ... Read Article

ICapital Network Deepens Firm’s Senior Leadership With Appointment Of Tom Iacono, Chief Financial Officer
ICapital Network, an online platform that provides streamlined access to alternative investments, announced several new appointments today. Finance veteran Tom Iacono joins the firm as Chief Financial Officer. ... Read News

Regulatory Notice 13-22
1 13-22 Executiv Executive Summary FINRA periodically reviews the content of qualification examinations to determine whether revisions are necessary or appropriate in view of ... Retrieve Full Source

Financial Industry Regulatory Authority, Inc.
FINRA represents that, since the 2005 Bar Order Mr. McCaffrey has worked for: (i) Citigroup Alternative Investments (“CAI”) as a managing director and head of Global Sales (in a non-supervisory capacity) from approximately January 2003 through the first quarter of 2005; ... Fetch Document

2013 SEC And FINRA Year In Review For Broker Dealers And ...
2013 SEC and FINRA Year in Review for Broker Dealers and Investment Advisers March 27, 2014 Anne C. Flannery Jennifer L. Klass E Andrew Southerling ... Access Content

Traditional And Alternative Products: Suitability And ...
Traditional and Alternative Products: Suitability and Supervisory Issues Alternative investments are increasingly attractive to investors because they offer more attractive returns FINRA Investor Alert Alternative Funds Are Not Your Typical Mutual Funds ... Doc Retrieval

Table Of Contents - Securities America
Table of Contents Welcome to Securities America 1 Affiliation Alternative Investments 5 Mutual Funds 5 Advisory Services 5 Independent IRA 5 It is a critical step to satisfy contracting and FINRA requirements. ... Access Content

Understanding FINRA 15-02 & Impact On Non-Traded REITs
Non-traded alternative investments such as non-traded real estate investment trusts (REITs) and non-traded business development companies (BDCs) and FINRA Rule 2310, changing how the per-share value is expressed on client account statements. ... Read More

Sjdfhahre433h4i53h78shdiofe890shfdio89 - YouTube
Sjdfhahre433h4i53h78shdiofe890shfdio89 bwfvideos. Subscribe Subscribed Unsubscribe 7 7. Loading (NFPSI) Member FINRA/SIPC. Alternative investments involve a high degree of risk, ... View Video

Asset Management Alert - PricewaterhouseCoopers
Alternative Investment Fund Reporting Under the New Cost Basis Reporting Regime In response to the broker cost basis reporting requirements, the IRS has released a revised ... Read Document

Securities Industry Continuing Education Program Firm Element ...
4 Alternative Mutual Funds FINRA issued an Investor Alert on alternative funds to inform investors of the characteristics and risks of these investments. ... Fetch Full Source

2016 FINRA And SEC Examination Priorities Summary And Comparison
2016 FINRA and SEC Examination Priorities Summary and Comparison January . FINRA will conduct assessments to determine if research analysts within new products that were previously characterized as alternative investments (e.g., alternative mutual funds, ... Document Viewer

Interval Fund Investing - Mutual Fund Access To Alternative ...
Interval Fund Investing - Mutual Fund Access to Alternative Investments Individual investors have long wished for the same access institutions have to alternative investments. ... Retrieve Content

Investor Alert: Self-Directed IRAs And The Risk Of Fraud
Alternative investments may be il-liquid and difficult to value. As a result, self-directed IRA custodians often list the value of the investment as the original purchase price, the original purchase price plus returns reported by the promoter, or a price ... Retrieve Content

SECURITIES AND EXCHANGE COMMISSION
SECURITIES AND EXCHANGE COMMISSION . WASHINGTON, DC 20549 . DIVISION OF . TRADING AND MARKETS . February 3, 2012 . custodians and issuers of alternative investments such as hedge funds, funds of funds, private equity, non-traded real estate investment trusts (REITs) and limited ... Document Retrieval

Alternative Investments - Questar Capital
Member FINRA, SIPC Overnight Deliveries Only PO Box 59177, Minneapolis, MN 55459-0177 • 888/446-5872 5701 Golden Hills Drive, Minneapolis, MN 55416-1297 Alternative Investments REITs Product Sponsor Toll Free Web site American Realty Capital ... View Doc

Principal Vs Principle: Commonly Confused Words
The commonly confused words "principal" and "principle": definitions, examples, usage notes, and practice exercises. ... Read Article