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September 5, 2017

Edelman CEO: Firm Owes Growth to Standardization
Firm plans to hire more advisors in line with its “depth vs. breadth” strategy.
Ex-Merrill Exec Avoids Fines on Customer Cash Misuse
SEC orders no penalties on former head of regulatory reporting at the wirehouse, which had paid $415 million over misuse of client funds.
DOL Axes Arbitration Ban from Fiduciary Rule
Agency says IRS will also stay away from enforcing the ban.
Wells Fargo’s Woes Just Keep On Growing
Bank reps opened 3.5 million bogus accounts, not the 2 million estimated last year.
Poll
How Do You Feel About Yet Another DOL Rule Delay?

Well, it's official. The White House has approved the Department of Labor's request to delay full implementation of its fiduciary rule a further 18 months to July 2019. What are your thoughts on another delay?

ThinkTank: Equities

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