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March 21, 2018

As DOL Rule is Struck Down, Fears Resurface Over Investor Protection
Industry groups could be emboldened to push for a watered-down rule that's mainly about marketing.
Guess Which Big Regional Has Joined the Broker Protocol
While other firms see the protocol as ultimately damaging, this firm chooses “to overtly align” align with it.
Fiduciary Rule’s Court Setback Isn’t End of Story
But the likelihood of a resurrection of the DOL fiduciary rule is slim.
Wells Fargo Exec Denies FBI Probe of Wealth Unit
Exec tells advisors in internal memo there were no FBI interviews with Phoenix employees as reported by the Wall Street Journal.
Ending Broker-Dealer Oversight of RIAs May Still Leave BDs at Risk
No matter what Finra says, experts see no relief from ending RIA responsibilities at BDs.
Seniors Are Families' Financial Backstops — But It Won’t Last
Fortunate timing and austere financial habits have helped the Silent Generation.
The Real Reason Why Advisors Are Moving to Passives
It may not just be about cost.  Video [ 5:12 ]   Transcript