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November 10, 2016

Advisors Focus on Clients Ahead of Trump Presidency
Anticipating financial regulation changes takes a back seat to servicing clients of all political stripes.
JPMorgan Kills Commission IRAs as Industry Ponders Trump’s DOL Stance
Decision comes as fate of DOL rule hangs in balance following Donald Trump win.
Regs, Cyber Threats – Not Robos – Top FA Concerns
Technology can help advisors meet increased compliance requirements stemming from the DOL fiduciary rule.
Finra: Broker Tried Fleecing Elderly Clients Out of $70K
Case involves fees for bogus financial planning and investment advice.
Opinion
Beware the Tax Drag on Non-U.S. Equity Funds
Advisors need to prepare their clients before it’s too late.

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