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Community: Polls

  • July 25, 2017
    Does New Snafu Spell Trouble for Wells Fargo?

    Wells Fargo is in trouble again. This time over an apparently mistaken data dump that supposedly identifies tens of thousands of wealthy retail brokerage clients by name, Social Security number and holdings. Will the Wells Fargo brand recover? Tell us why or why not in the comment section below.

    No Comments
  • July 11, 2017
    Is the DOL Backing Down on its Fiduciary Rule?

    Last week, in the 5th Circuit Court of Appeals, the DOL filed papers effectively dropping its defense of the fiduciary rule’s class-action lawsuit provision. While the department insists it will defend the rule against an onslaught of legal attacks, is this nonetheless a sign the DOL's support for the rule is diminishing?

    No Comments
  • June 27, 2017
    How Are You Handling the Fourth of July Weekend?

    Since Independence Day is a Tuesday this year, many families are taking the Monday off to make a four-day weekend. What are your patriotic plans?

    No Comments
  • June 20, 2017
    Are You a Tech Innovator?

    A new study suggests firms that keep ahead of tech innovations are more likely to enjoy faster growth. Do you consider yourself:

    No Comments
  • June 13, 2017
    Are Clients Now Asking About the Fiduciary Rule?

    After a bumpy ride — and more sure to come — the Department of Labor's fiduciary rule finally rolled out for partial implementation last Friday. But do clients know or care about the definition of a fiduciary, new disclosure rules or best interest contract exemption forms? Have you had any queries from your clients about any of these things? Give us specifics in the comments section.

    Last Comment: June 13, 2017
    1 Comment
  • June 6, 2017
    What Do Calls for a Joint SEC-DOL Fiduciary Standard Really Mean?

    Acting at the behest of the Department of Labor, the SEC last week asked for public input on its role in establishing an industry-wide fiduciary standard. What do you think that's about?

    No Comments
  • May 30, 2017
    Why are Big Firms Hitting the Brakes on the Bonus Train?

    With one exception, the wirehouses seem to have cut back on using bonuses to lure highly productive brokerage teams. What, mainly, does this tell you about the big-BD space?

    No Comments
  • May 23, 2017
    Does Behavioral Finance Play a Role in Your Practice?

    Russell Investments recently attempted to quantify the potential value of behavioral insights to an advisor's value-add proposition. Do you agree it has real value?

    No Comments
  • May 16, 2017
    How Ready Are You for Digitalization?

    Meeting growing client demand for services provided via mobile devices calls for a lot of work on the back end to make sensitive data and other key outputs secure "deliverables." How ready is your firm to make that a reality?

    No Comments
  • May 9, 2017
    Do You Agree With Vanguard? Is Paid Distribution a Conflict?

    Following media reports Morgan Stanley has stopped letting brokers sell Vanguard mutual funds, Vanguard CEO Bill McNabb said the wirehouse’s model of charging fund providers for distribution on their platforms raises conflicts of interest. Do you agree? Explain why or why not in the comments section.

    Last Comment: May 9, 2017
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