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October 19, 2017

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Previous Issue

State Fiduciary Laws Seen Adding to Chaos, Confusion

More states are expected to follow Nevada’s lead in fiduciary lawmaking.

How Slow Industry Growth Hurts Your Career Prospects

As revenue growth shrinks so do career development opportunities.

Commonwealth Picks Up National Planning Corp Team

The Advisor Group and Commonwealth nab advice practices previously affiliated with the National Planning Corp.

Why FAs Must Systematically Overcome Gender Bias

Failing to do so risks alienating female clients and prospects.

Opinion

How to Keep Clients Focused on the Long Term

What’s the biggest service advisors can provide clients in a maturing bull market?

ThinkTank: Latest Published Content

Buying Value in a Good Ol’ Bull Market
Smead Capital Management

Investing While Waiting for a Rising Interest Rate Environment
LM Capital Group

Small Caps Pick Up Speed
Alger

Topics

All Topics

The Client - Finding and winning new clients Raymond James Nabs Four Wells Fargo FAs Ron Carson Names 32-Year-Old His Successor	The Client - Client retention Butowsky Sues Schwab for $100M Claiming Political Bias Implement Boundaries and Structure with Volatile Clients
The Client - ERISA plans/institutional management DOL Likely Won’t Fight for Fiduciary Rule, Former Exec Says Galvin Keeps Heat on Scottrade Fiduciary Rule Case	The Client - Behavioral finance Wealthy Clients Are Pessimistic About Longevity and Healthcare Costs Implement Boundaries and Structure with Volatile Clients Merrill Lynch, RBC FAs Reveal Their Game-Changing Client Moves

The Assets - Portfolio management SEC Unveils Best Interest Regulation But Critics Complain It Merely Maintains the Status Quo Merrill Lynch, RBC FAs Reveal Their Game-Changing Client Moves	The Assets - Insurance planning SEC Plans to Limit Who Can Call Themselves a Financial Advisor Insurance Commissioners Are Crafting Their Own Best Interest Standard
The Assets - Estate planning Raymond James Rolls Out Tool for Gathering Client Asset Data Don't Be Afraid to Make Meetings Mandatory	The Assets - Tax planning Loss of Roth 'Mulligans' Seen as Planning Crimp

The Practice - Technology How Hires From Morgan Stanley Beef Up Advizr’s IBD and Fortune 500 Offerings Merrill Lynch and UBS Lose FAs to Raymond James	The Practice - Fees and compensation Merrill Lynch Loses $4.5 Billion Team to First Republic Advice Industry Casts Big Doubts Over SEC’s Best Interest Standard
The Practice - Staffing and recruiting Butowsky Sues Schwab for $100M Claiming Political Bias Merrill Lynch Loses $4.5 Billion Team to First Republic	The Practice - Regulatory/legal issues Vote: Would You Be Willing to Part with Your Advisor/Adviser Title? Butowsky Sues Schwab for $100M Claiming Political Bias

1	SEC Commish Blows Apart “Disappointing” Best Interest Rule
2	Merrill Lynch, RBC FAs Reveal Their Game-Changing Client Moves
3	Morgan Stanley Wins $6 Million Payment From Fired FA
4	Sacked Morgan Stanley Advisor Ordered to Pay Back $372,000
5	Merrill Lynch Loses 124 FAs in 1Q But Confident About Future Growth

1	Merrill Lynch, RBC FAs Reveal Their Game-Changing Client Moves
2	SEC Unveils Best Interest Regulation But Critics Complain It Merely Maintains the Status Quo
3	Merrill Lynch Loses 124 FAs in 1Q But Confident About Future Growth
4	SEC Commish Blows Apart “Disappointing” Best Interest Rule
5	Regulator Scrutiny of Reverse-Churning to Continue

1	SEC Commish Blows Apart “Disappointing” Best Interest Rule
2	Fired UBS Employee Looks to Mount Class Action for Age Discrimination
3	Advisors Neglect Retirement Income Planning, Study Reveals
4	Wells Fargo Loses Reps to Raymond James, BNY Mellon
5	SEC Unveils Best Interest Regulation But Critics Complain It Merely Maintains the Status Quo

S	M	T	W	T	F	S






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October 19, 2017

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