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August 24, 2017

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Previous Issue

Morgan Stanley Slapped with $500K Fine

Wirehouse allegedly mishandled client trades in preferred securities.

DOL Foe Demands Injunction Against Arbitration Ban

Firm wants more than the DOL’s recent non-enforcement stance on the arb ban. DOL hints it may comply.

The Fatal Flaw in Many Client Communication Strategies

Provide more relevant messages, more personal touches — and quit it with the golf talk.

FAs Want More Info on CFP Board Fiduciary Proposal

Fiduciary proponents want more clarity, opponents remain mum.

Opinion

Clients Need a True Picture of Risk in a Bull Market

FAs need to manage investor expectations and earn trust in a bull market.

ThinkTank: Investing

Benefits of Investing in REITs
Manning-Napier

Intense Bargain or Value Trap?
Smead Capital Management

Secondary Funds: Removing Obstacles to Private Equity Adoption
Artivest

Topics

All Topics

The Client - Finding and winning new clients Ron Carson Names 32-Year-Old His Successor Raymond James Nabs Four Wells Fargo FAs	The Client - Client retention Butowsky Sues Schwab for $100M Claiming Political Bias Implement Boundaries and Structure with Volatile Clients
The Client - ERISA plans/institutional management DOL Likely Won’t Fight for Fiduciary Rule, Former Exec Says Galvin Keeps Heat on Scottrade Fiduciary Rule Case	The Client - Behavioral finance Wealthy Clients Are Pessimistic About Longevity and Healthcare Costs Implement Boundaries and Structure with Volatile Clients

The Assets - Portfolio management SEC Unveils Best Interest Regulation But Critics Complain It Merely Maintains the Status Quo Merrill Lynch, RBC FAs Reveal Their Game-Changing Client Moves	The Assets - Insurance planning SEC Plans to Limit Who Can Call Themselves a Financial Advisor Insurance Commissioners Are Crafting Their Own Best Interest Standard
The Assets - Estate planning Raymond James Rolls Out Tool for Gathering Client Asset Data Don't Be Afraid to Make Meetings Mandatory	The Assets - Tax planning Loss of Roth 'Mulligans' Seen as Planning Crimp

The Practice - Technology How Hires From Morgan Stanley Beef Up Advizr’s IBD and Fortune 500 Offerings Merrill Lynch and UBS Lose FAs to Raymond James	The Practice - Fees and compensation Merrill Lynch Loses $4.5 Billion Team to First Republic Raymond James' Alex.Brown Nabs Advisor from JPMorgan
The Practice - Staffing and recruiting Butowsky Sues Schwab for $100M Claiming Political Bias Merrill Lynch Loses $4.5 Billion Team to First Republic	The Practice - Regulatory/legal issues Vote: Would You Be Willing to Part with Your Advisor/Adviser Title? Butowsky Sues Schwab for $100M Claiming Political Bias

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