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August 23, 2017

Cetera BDs to Pay $3.3m in Mutual Fund Overcharges
Separately, SEC charges advisor for bilking professional athlete client.
How Much Will the DOL Rule Cost Advisors?
Deloitte expects an additional $1 million to $6 million in average spending yearly.
Asness Firm Seeks Permission to Develop ETFs
AQR gives little detail, claims no immediate plans to launch in SEC filings.
CAPTRUST Buys $19B Advisor, Also Called CapTrust
The two RIAs were previously affiliated through a shared holding company.
FAs Shouldn't Rely on Trust Funds for Client Transfer
Advisors urged to be proactive engaging with their clients' children.  Video [ 5:09 ]   Transcript  
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