Portfolio

The Financial Industry Regulatory Authority will begin formally examining the operations of broker-dealers this year. Here are 11 holes to plug, based on a FINRA letter to chief compliance officers on Feb. 8.

Retail investors in municipals are shaken, but still standing, after a relentless barrage of negative media hype surrounding forecasts for massive municipal bankruptcies and defaults later this year.

Advisors and regulators expect one rather odd twist for college savings plans.

Consumer Reports said that its Consumer Reports Trouble Tracker Index rose for the third straight month in a row, to 58.7. The index was 54.2 last month and 53.4 in February 2010.

In December, fixed annuity production was relatively stable but variable sales continued on their upward trajectory, recording increases each month in the fourth quarter, according to the Kehrer-Jackson Monthly Bank Annuity Sales Survey.

Forward Funds has launched the Forward Commodity Long/Short Strategy Fund, which aims to profit from both up and down movements of commodity prices.

Retail investors in municipals are shaken, but still ­standing, after a relentless barrage of ­negative media hype surrounding forecasts for massive municipal ­bankruptcies and defaults later this year.

The recent media firestorm over state and local government finances has resulted in heightened efforts by those in the municipal bond industry to educate jittery investors and enhance disclosure in the nearly $3 trillion market.

If interest rates can only go up from here, shouldn’t you minimize your exposure to bonds? Not according to Zane Brown, a fixed-income strategist from Lord Abbott who addressed a crowd of advisors at the IMCA New York Consultants Conference.

The funds include a market neutral, medical sciences and large-cap offering.