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November 8, 2018

Just Revealed: The SEC's Own Reg BI Disclosure Test Shows its Failings... Here's How
Investor advocates were worried the SEC wouldn’t even share the results.
Wells Fargo May Sell Off This Key Business Area
The sale could be worth up to $1 billion, people familiar with the matter tell Bloomberg.
Client Testimonial Rules Should Be Facebook and LinkedIn Friendly... But They're Not!
The laws governing advisor advertising are gravely in need of updating.
UBS Loses Veteran HNW Advisor to "Client- and Advisor-Friendly" Rival
Meanwhile, two UBS teams in Ohio head to Wells Fargo.
LPL Scores Another Win in Battle Against Cetera
Infinity Financial Partners manages $365 million.
Despite Its Death, Here's How the DOL Rule is Still Causing FAs to Change Their Ways
Majority of advisors say they’re likely to make changes as a direct result of the rule.
Citizens Bank to Acquire $7.5 Billion Wealth Management Practice
The acquisition would almost double the bank’s assets under management.
Will the SEC's Customer Relationship Summary Actually Work?

The SEC has released investor testing results for the Customer Relationship Summary – part of its proposed Reg BI. Many said the Form CRS was helpful but confusion remains over types of financial professionals, fees, costs and conflicts of interest. Do you think the currently proposed Form CRS is acceptable?