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April 19, 2018

SEC Unveils Best Interest Regulation But Critics Complain It Merely Maintains the Status Quo
SEC staff said they didn’t want to limit the investors’ choice and didn’t want a new rule that would significantly disrupt the broker-dealers.
Wells Fargo Loses Reps to Raymond James, BNY Mellon
A duo managing over $400 million join Raymond James’ employee unit.
Morgan Stanley Sheds 95 FAs Year-Over-Year
But company claims record low broker attrition rates.
Galvin Keeps Heat on Scottrade Fiduciary Rule Case
Massachusetts’ top securities watchdog is trying to block the case from removal to federal court as requested by the firm.
Advisors Neglect Retirement Income Planning, Study Reveals
FAs warned to help their clients better plan for the future.
Four Steps to Ensure a Smooth Acquisition for Your Firm
Thinking of selling out? Here are a few things to consider.