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July 31, 2017

Watchdog Bigwigs Clash Over Anti-DOL Rule Stance
Massachusetts securities chief says SEC Commissioner’s comments are fodder for legal challengers.
Segment Badly and You Could Harm Your Own Practice
Just because you want to put your clients into boxes doesn’t necessarily mean they’ll fit.
Even Regulators Worry Compliance Is Hurting Small BDs
Finra and SEC execs signal compliance rules may have to be changed for smaller firms.
UBS Wealth Sheds Assets But Files Profit Jump
Company faults asset drain on lower recruiting of experienced brokers but boasts high production.
FAIQ Education
How Profit Cycles Drive Financial Markets
This FA-IQ Education webcast is an in-depth presentation on how profit cycles, and not economic cycles, are the primary drivers of equity markets, according to Richard Bernstein, CEO and chief investment officer of Richard Bernstein Advisors. This presentation is worth 1 credit hour from the CFP and CIMA upon the successful completion of a 10-question quiz.