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November 3, 2017

By Rejecting the Broker Protocol, Morgan Stanley is Building a Wall
Timing of the announcement underlines firm’s determination to keep its FAs from jumping ship.
GOP Tax Proposal: What it Means for your Clients
Caps on 401(k) contributions would remain the same and estate tax eliminated, but certain deductions would be phased out.
One More Step and DOL Rule Delay is Official
The Office of Management & Budget still has to approve the delay.
JPMorgan Disputes Whistleblower Case
Company says former wealth manager was fired for lying and not over red flags about a client.
How to Help Clients Who Don't Know What They Want
When clients’ goals for their wealth are unclear, take the time to get to know them better.