(Bloomberg) -- Brokers selling higher-fee investments like non-traded real-estate investment trusts and derivative-backed structured notes may get more scrutiny this year after those markets grew in 2013.
FINRA will examine how brokers are paid for selling securities and look at funds that have risks individual investors might struggle to understand, according to the regulator's 2014 priorities letter. The complex investments may be sensitive to changes in interest rates or volatility, FINRA said.
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