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Today's Headlines

Banned Advisor Fights SEC Judging System in Supreme Court
In Lucia v. SEC the bench worries about the wider implications of shutting down the watchdog’s administrative judges.
Merrill Lynch Loses $4.5 Billion Team to First Republic
And another Merrill team managing $380 million heads to D.A. Davidson & Co.
Butowsky Sues Schwab for $100M Claiming Political Bias
Texas-based FA says he was removed from Schwab’s custodial platform because of his connection to Donald Trump.
DOL Likely Won’t Fight for Fiduciary Rule, Former Exec Says
SEC may have more room to work on its best-interest standard.
Regulators Worry FAs Will Try to Bypass Finra to Expunge Records
SEC and NASAA say Finra’s current proposal to tighten arbitration process related to expungements may backfire.
Poll
Vote: Would You Be Willing to Part with Your Advisor/Adviser Title?

The proposed SEC Regulation Best Interest package would prohibit broker-dealers and their associated persons from referring to themselves as either “advisor” or “adviser” unless they are specifically also registered as investment advisors with the SEC. Are you willing to part with your advisor/adviser title?

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