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December 14, 2017

Wirehouses and BDs Could End Up on ‘Short End’ of Tax Cuts
After lawmakers strike deal on Wednesday, advisors see list of winners and losers narrowing.
SEC Fiduciary Rule Doable in 18 Months, Says Sifma’s Bentsen
Meanwhile, the trade group continues fighting the DOL’s fiduciary rule in the courts.
Promissory Note Fraud Tops Investor Complaints
A recent survey of NASAA regulators finds that Ponzi and real estate schemes also occupy top spots among investor complaints.
How to Get More Client Referrals
Avoid high-pressure tactics, display expertise and focus on the right kind of client to generate introductions.
What Makes a Good Financial Advisor — And a Bad One
Listening, transparency, commitment and taking responsibility separate the wheat from the chaff.

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