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January 10, 2017

TD Ameritrade: Advisors Most Optimistic in Six Years
Firm sees big positives for client engagement over Trump economics.
SEC Charges Brokers Over Excessive Trading
Watchdog also issues investor alert on excessive trading and churning.
Merrill’s Push For Fee-Based Advice … and Banking
Number of brokers with at least half their clients in fee-based accounts more than doubled since 2009.
New T Share Class Funds Will Push Down Advisor Fees
Spurred by the DOL’s fiduciary rule, mutual fund companies expected to release new standard fee share classes.
How Will You Grow Your Business in 2017?

How will you increase net asset flows from clients this year? What will be your primary objective?