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May 10, 2018

The Big Problem With Defining "Best Interest"
The SEC should allow each broker-dealer firm to design its own process-oriented best-interest approach because the firms have various business models, one lawyer says.
Ex-Morgan Stanley FA Sues Wirehouse, Alleging Wrongful Termination
Fired rep says he was let go after refusing to sell securities-backed loans.
Edward Jones Names New Managing Partner
Penny Pennington will take over from Jim Weddle in 2019.
These Specialized Services are Key to Serving High Net Worth Clients
High net worth clients want advisors who offer advice beyond investment management.
Advice Firms Warned to Overhaul Businesses to Cater for Millennials and Gen Xers
RIAs expect 41% of their clients to come from these two generations by 2023.