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December 1, 2016

Merrill Lynch Fined $7M Over Client Loans
Finra says brokerage allowed excessive leverage in securities-backed loans as well as over-concentration in Puerto Rican bond products.
Think Like a Hacker, Protect Like a Bodyguard
Advisors run the risk of making life too easy for cybercriminals.
Top GOP Senator Calls for DOL Rule Repeal
Meanwhile, survey finds almost 90% of independent broker-dealers want a repeal.
Not All FA Incentives Are Beneficial to Advice Firms
Firms should incentivize team work rather than individual performance, says consultant.
The Rise of the Super-Breakaway Team
If increased competition and growth are signs of healthy business, now’s a great time for RIAs.