Alarmed at a set of conditions that could invite sales abuses and eventually a market correction, the Financial Industry Regulatory Authority enters 2013 with a warning to investment advisors that the group plans to keep a close eye on the industry and hold advisors accountable to its new suitability rule.

As a starting point, FINRA explains that the current market conditions of slow growth and low interest rates have created new vulnerabilities for retail investors, who, while chasing safer investments, could actually be exposed to new risks as they shift holdings from equity to debt markets, which FINRA warns could be inflated.

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