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December 7, 2018

UBS to Tackle Critical Sunset Packages Question in Court
Bankrupt advisor's trustee raises key concern for many FAs.
Get Your Hands Off Fiduciary Rules, Sifma Warns States
Multiple state regulations governing brokers and advisors would lead to inefficiency, higher costs and potential restriction of choice, lobbyists warn.
Wells Fargo to Launch RIA ... But the Plans Don’t Convince Everyone
Some say it’s a smart move; others believe it won’t help it hang on to advisors.
RIAs Slate RAND Corp’s “Flawed” Work on SEC Best Interest Reg
IAA says testing of proposed Form CRS was “substantially flawed.”
Sponsored Webcast
Women Advisors Discuss Succession Plans as They Take Charge of their Family Firms
Four financial advisors discuss the challenge and opportunities associated with taking over their family firms. This webcast is sponsored by LPL Financial.
Ex-FA With 48 Disclosures Gets 7 to 20 Years in Prison
Advisor pleaded guilty to embezzlement and stealing $3 million from clients.
Ameriprise Puts Managed Account Programs Under One Roof
The move will help advisors do business — and may help with recruiting.

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