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November 6, 2017

Why Morgan Stanley's Protocol Rupture Isn't a Factor for Many Team Departures
Doubts raised about a new flurry of recruiting deals being tied to wirehouse’s reversal.
Did Morgan Stanley's Protocol Surprise Hasten These Rep Exits?
Some think Morgan Stanley brokers are speeding up departures following the wirehouse’s Protocol move.
Woodbury Financial Nabs Two More NPH Firms from LPL
LPL Financial is letting certain units go from NPH, whose assets it bought in August.
Court Unearths Loan Disclosure Trap for Advisors
An SEC case involving loans to an advice firm puts the disclosure burden on advisors rather than lawyers.
FAIQ Education
Understanding Smart Beta and Factor Investments
This FA-IQ Education webcast is a comprehensive presentation on smart beta and factor investments by Timothy Baker, director of product strategy at Symmetry. This presentation is worth 1 credit hour from the CFP and CIMA upon the successful completion of a 10-question quiz.
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