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October 19, 2017

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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 Why Morgan Stanley’s Wealth Unit Posted Growth Last Quarter What Merrill Lynch’s Revenue Figures Mean for its Brokers’ Comp Plan Merrill Lynch Lawsuit Shows Fired Brokers Can Use Protocol Rules Too, Lawyers Say	The Client - Client retention The Critical Issue Morgan Stanley and RBC Apparently Flubbed for Years Morgan Stanley is Shedding More Advisors to This Major Indie What Merrill Lynch’s Revenue Figures Mean for its Brokers’ Comp Plan
The Client - ERISA plans/institutional management DOL Rule Saga Isn't Over... Agency Plans Roll Out of a Final Fiduciary Rule Next September As Merrill Lynch Reverses Ban, Investors Urged to "Steer Clear" of Commission-Based Accounts	The Client - Behavioral finance Do Young Clients Truly Want SRI? Some Advisors Just Don't Buy It 3 Effective Ways to Reframe Risk for Ultra-Conservative Clients

The Assets - Portfolio management The Critical Issue Morgan Stanley and RBC Apparently Flubbed for Years 3 Effective Ways to Reframe Risk for Ultra-Conservative Clients Do Young Clients Truly Want SRI? Some Advisors Just Don't Buy It	The Assets - Insurance planning Ken Fisher's Resolve Unwavering as Insurance Marketers Cajole Advisors to Annuities Allianz Life Sells Own B-D, RIA Business
The Assets - Estate planning Wells Fargo, Morgan Stanley and Other UHNW FAs Warn of Dangers in Neglecting Estate Plans	The Assets - Tax planning Social Security Cost-of-Living Adjustments May Not Be Enough, Warns Lobby Here's How Retirement Savings Change Under Congress' Tax Cuts 2.0

The Practice - Technology The Critical Issue Morgan Stanley and RBC Apparently Flubbed for Years Sell your RIA Now? Fidelity Execs Insist There's No Better Time	The Practice - Fees and compensation Jury Convicts Financial Advisor on Massive $20 Million Ponzi Scheme Charges SEC Charges Investment Advisor with Fraud What Merrill Lynch’s Revenue Figures Mean for its Brokers’ Comp Plan
The Practice - Staffing and recruiting Two Ex-Wells Fargo Brokers Barred in Separate Incidents Morgan Stanley is Shedding More Advisors to This Major Indie Ex-Morgan Stanley FA Barred After 50-Plus Years in Industry	The Practice - Regulatory/legal issues Two Ex-Wells Fargo Brokers Barred in Separate Incidents Ex-Morgan Stanley FA Barred After 50-Plus Years in Industry Merrill Lynch Lawsuit Shows Fired Brokers Can Use Protocol Rules Too, Lawyers Say

1	What Merrill Lynch’s Revenue Figures Mean for its Brokers’ Comp Plan
2	Ken Fisher's Resolve Unwavering as Insurance Marketers Cajole Advisors to Annuities
3	Morgan Stanley's Lucrative New Retirement Packages Might Come with a Big Catch
4	Wells Fargo Could Face Class Action Suit Over Deferred Compensation
5	Merrill Lynch Lawsuit Shows Fired Brokers Can Use Protocol Rules Too, Lawyers Say

1	Wells Fargo Could Face Class Action Suit Over Deferred Compensation
2	Morgan Stanley's Lucrative New Retirement Packages Might Come with a Big Catch
3	Ken Fisher's Resolve Unwavering as Insurance Marketers Cajole Advisors to Annuities
4	DOL Rule Saga Isn't Over... Agency Plans Roll Out of a Final Fiduciary Rule Next September
5	Morgan Stanley Won’t Bank on Millennials Yet ... Neither Will These FAs

1	Morgan Stanley's Lucrative New Retirement Packages Might Come with a Big Catch
2	Fidelity Faces Another 401(k) Plan Suit
3	Wells Fargo Could Face Class Action Suit Over Deferred Compensation
4	Ken Fisher's Resolve Unwavering as Insurance Marketers Cajole Advisors to Annuities
5	Merrill Lynch Lawsuit Shows Fired Brokers Can Use Protocol Rules Too, Lawyers Say

S	M	T	W	T	F	S






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October 19, 2017

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