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April 30, 2018

SEC Snuggles Up to Industry with Best Interest Rule?
A more business-friendly rule is expected to allow more flexibility in recommendations for investment strategies or products.
Most FAs Ignore Risks of Failing to Plan Business Exits
Without a succession plan advisors leave themselves open to big risks.
Wells Fargo to Avoid Advisor Lawsuit with $9.5 Million Payout
Class action alleges the wirehouse didn’t pay advisors commissions on time.
Clients Clueless About Social Security May Undermine Their Own Retirement Plans
Many pre-retirees overestimate how far the benefits will go and most know little about how they’re calculated.
Amazon for Investing? Why Schwab Boss Thinks It’s Unlikely
Walt Bettinger says Amazon would have to face far more regulatory scrutiny than it has so far.

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