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December 14, 2018

Trump’s Latest Order Aims to Jump-start Tax-Shelter Investments
FAs think Qualified Opportunity Zones could be big for UHNWs … if they’re properly defined and understood.
Crackdown on Unpaid Arb Awards Could Cost All Brokers Dearly
Watchdogs are weighing a number of solutions, including forcing all brokers to contribute to a fund.
UBS and Broadridge Set to Reveal Key Details on Agreement
The two firms pledge a "long relationship."
Morgan Stanley and Wells Fargo Lose Reps to This Aggressively Recruiting Rival
Advisors collectively managing $230 million join the firm’s employee channel.
BlackRock and Microsoft Team up for Digital Financial Planning Rollout
The companies have reached an agreement to build a technology platform for workplace retirement savings plans.
Watchdog’s Gloves Are Off Over 12b-1 Fee Violations
SEC is now sending letters to hybrid RIAs who failed to self-report 12b-1 fees.
FT 300 Snapshot: Which Are the Top FT 300 RIAs in the West South Central?
These ten FT 300 firms lead the field in AUM size across the region.
Indexed Annuity Sales on Track to Beat Those in Variable Annuities
But annuity sales growth in the product overall isn’t likely to come back to 2007 and 2008 levels, researchers say.
Americans Believe in Financial Planning, But Many Would Rather Not Deal with It
FAs may need to help prospects get over their nervousness and reluctance to face facts.