Marlene Y. Satter, AdvisorOne

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  SEC, FINRA Enforcement Roundup: City in California Charged With Fraud

  By Marlene Y. Satter, AdvisorOne  |  May 2, 2013

  Among recent enforcement actions, the SEC went after the city of Victorville, Calif., for defrauding municipal bond investors. In addition, FINRA took action against John Thomas Financial for intimidation of its own staff.

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  Africa: Opportunity Beyond the S in BRICS

  By Marlene Y. Satter, AdvisorOne  |  May 2, 2013

  Investors considering going a bit farther afield than EU countries, Japan and other developed markets might want to consider Africa—and not just South Africa.

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  New Hire Roundup: Westport Resources Promotes DeLaura

  By Marlene Y. Satter, AdvisorOne  |  May 1, 2013

  This week in new hires, Westport Resources promoted Christopher DeLaura and added Ashley Schexnaildre, and Susan Axelrod was promoted and Jonathan Sokobin was added by FINRA.

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  Top 10 Cheapest States for Long-Term Care Costs: 2013

  By Marlene Y. Satter, AdvisorOne  |  April 30, 2013

  Will you or your client be one of the 70% of people over 65 who will need long-term care? Genworth’s annual study on the cost of LTC indicates that if you are, you will be paying more for it this year.

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  Top Portfolio Products: DoubleLine Debuts Income Solutions Fund

  By Marlene Y. Satter, AdvisorOne  |  April 26, 2013

  In addition, First Trust Advisors announced a new actively managed ETF.

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  SEC Enforcement Roundup: Ralph Lauren Corp. Admits to Bribing Argentine Officials

  By Marlene Y. Satter, AdvisorOne  |  April 25, 2013

  Recent actions include a nonprosecution agreement with Ralph Lauren Corp. in a bribery case and the halting of an immigration scheme.

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  Overseas Tax Havens Under the Microscope as Governments Call for Tighter Regulations

  By Marlene Y. Satter, AdvisorOne  |  April 25, 2013

  Demands for tighter regulations and more transparency could change the way countries—and companies—do business.

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  Top Portfolio Products: New Factor ETFs From iShares

  By Marlene Y. Satter, AdvisorOne  |  April 21, 2013

  Credit Suisse launches a silver covered-call ETN as North Peak rolls out an inflation-hedged strategy.

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  SEC Enforcement Roundup: Sister Charged With Illegally Tipping Off Brother

  By Marlene Y. Satter, AdvisorOne  |  April 18, 2013

  Among recent enforcement actions taken by the SEC were charges against a woman for illegally tipping her brother about quarterly earnings data from the firm she worked for.

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  New ETF From Global X Indicates Growing Investor Interest in Mongolia

  By Marlene Y. Satter, AdvisorOne  |  April 18, 2013

  The low road could offer a massive boost to Mongolia’s economy and a new ETF—especially if laws are poised to change again.