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January 3, 2018

Finra Needs More Arbitration Chairs in Midsize Cities
When there aren’t enough potential chairs at a location, Finra’s current gap-filling system has led to problems.
Fake Fiduciary Rule Comments Revealed
Some 40% of supposed commentators didn’t write posts ascribed to them.
How Tech Sends Clients Running Back to Human FAs
Cerulli report finds that investors are increasingly relying on human advisors.
LPL Onboarded 71 Mid-Tier Firms from NPH Purchase
The affiliations could bring LPL up to $35.4 billion in assets.
Video
How the Consolidated Audit Trail Affects FAs
Sensitive trading and personal data will now be held all in one place.  Video [ 4:02 ]   Transcript  

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