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October 18, 2017

NCAA Scandal Could Force Regulators to Clamp Down
Finra promised it’d do more to preempt bad brokers. Is it doing enough?
Morgan Stanley’s Fee-Based Asset Flows Slow
Flows into fee-based accounts fall 21% from the second quarter with DOL’s fiduciary rule delay.
Investor Defender Slams SEC Best Interest Enforcement
Consumer Federation of America director argues against disclosure-only approach.
Oppenheimer and Carlyle Team up for WM Platform
New venture gives access to private credit for investors and advisors.
Include the Kids in Client Conversations With Their Parents
How do you bridge the gap from client to their millennial heirs?  Video [ 1:51 ]   Transcript