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November 30, 2017

Why Merrill Lynch Could Leave the Broker Protocol Before the Year is Out
Recruiters say the firm is likely to pull out before Wells Fargo Advisors — maybe before year-end.
Finra Agrees to Give Greater Clarity on Broker-Dealer Firm Exam Findings
A new report will – for the first time – let broker-dealer firms review the relevant findings of industry-wide examinations conducted by the regulator.
Short-Term Thinking Impedes FA Planning for the Future
New study derides advisors for slow uptake of technology.
Opinion
Break into the Retirement Plan Sponsor Market
How and why you should take the plunge into retirement advice for business owners.

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