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September 22, 2017

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Previous Issue

How Advisors Could Win from Consolidation in BD Space

Broker-dealers are focused on improving the experience of advisors they acquire or bring on, according to report.

Powerful Finra Arbitration Forum Under Scrutiny

Finra handles more than 99% of the securities-related arbitrations and mediations in the U.S.

Why NAPFA Insists DOL Rule Isn’t Driving Consolidation

Advisor advocacy group says fiduciary rule will be difficult to reverse because the industry already made moves to comply with it.

Morgan Stanley Couple Switches to Raymond James

Husband-and-wife team had spent 19 years at Morgan Stanley and Smith Barney.

Tell Your Clients What They’re Doing Right

Focus on what’s already good, not just what needs improvement

ThinkTank: Most Popular

Fixed-income strategies for low and rising rates
TIAA Investments

Details Matter: Establishing an Estate Plan and Getting the Details Right
People's United Financial, Inc.

Losing Religion?
Richard Bernstein Advisors

Topics

All Topics

The Client - Finding and winning new clients FA to Facebook, Google Execs Seeks More Big Names What Millennials Really Think About Human Advisors	The Client - Client retention FA to Facebook, Google Execs Seeks More Big Names Tell Your Clients What They’re Doing Right
The Client - ERISA plans/institutional management DOL Argues It Didn’t Overstep Congressional Mandate	The Client - Behavioral finance Tell Your Clients What They’re Doing Right Veterans Beat Civilians in Some Key Financial Habits

The Assets - Portfolio management What Millennials Really Think About Human Advisors Women-Targeted Robo Goes Hybrid	The Assets - Insurance planning Merrill Shows How Healthcare Costs Are Hurting Clients Tax Avoidance Insurance Funds Gain Popularity
The Assets - Estate planning How Should RIAs Offer In-House Trust Services? How Some Savvy FAs are Overtaking ‘Basic’ Robos	The Assets - Tax planning Amid Tax Cut Debate FAs Eye Red Flags Trump’s Tax Cuts Likely to Benefit the Very Wealthy

The Practice - Technology What Millennials Really Think About Human Advisors Women-Targeted Robo Goes Hybrid Edelman Justifies Low Minimum Account Thresholds	The Practice - Fees and compensation SII Charged With Unethical Conduct SEC Reveals 5 Serious Violations in RIA Marketing
The Practice - Staffing and recruiting How Advisors Could Win from Consolidation in BD Space Finra Bars Fired Lincoln Financial Rep	The Practice - Regulatory/legal issues DOL Argues It Didn’t Overstep Congressional Mandate Why NAPFA Insists DOL Rule Isn’t Driving Consolidation SEC Reveals 5 Serious Violations in RIA Marketing

1	Merrill Lynch, Morgan Stanley and UBS Lose Reps
2	SEC Reveals 5 Serious Violations in RIA Marketing
3	SII Charged With Unethical Conduct
4	DOL Argues It Didn’t Overstep Congressional Mandate
5	Finra Stats Reveal Clues to Winning Arbitration

1	SEC Reveals 5 Serious Violations in RIA Marketing
2	Edward Jones Revives Recruiting Effort Aimed at Women
3	Finra Stats Reveal Clues to Winning Arbitration
4	What Millennials Really Think About Human Advisors
5	Merrill Lynch, Morgan Stanley and UBS Lose Reps

1	SEC Reveals 5 Serious Violations in RIA Marketing
2	Edward Jones Revives Recruiting Effort Aimed at Women
3	HNW Clients Demand Far More Than Investment Advice
4	What Millennials Really Think About Human Advisors
5	Finra Stats Reveal Clues to Winning Arbitration

S	M	T	W	T	F	S






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