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September 11, 2017

Uniform Fiduciary Standard Might Win Bipartisan Backing
Key questions remain: can it be achieved and how would it work?
Morgan Stanley and Wells Fargo FAs Jump to Ameriprise
New recruits managed around $391M at rivals.
Average RIA Deal Size Slumps in 2017
But number of deals is expected to reach last year’s levels.
Finra, SEC Cases Highlight CCO Risks
Advice firms and CCOs should review compliance practices.
Clients Planning to Work Past 65 Need a Reality Check
While many plan to keep working few actually can.