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January 11, 2018

Discounters’ Incentives May Be News to Clients
Financial advisors weigh in on new revelations about online brokerages.
RIA Integrator Mercer Strikes Again In Texas and New England
Wealth firm tacks on middle-market practices with seasoned leadership.
Finra is Considering Ending B-D Oversight of Hybrid RIAs
But removing the requirement may take away revenue broker-dealers receive from supervising the RIAs.
SEC Hopes to Vote on Its Own Fiduciary Rule by 2Q
The commission is picking up pace on a version of the fiduciary rule that would apply to all brokers.
Some Firms Are More Tolerant of Bad Brokers
FAs with misconduct records often find a new job within a year of leaving their old firm.
Americans Need More Financial Literacy
How financial education is delivered should be changed, experts say.

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