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July 5, 2018

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Previous Issue

Do RIAs Come Out On Top in Fiduciary Rule/Best Interest Fight?

As the industry dukes it out, here’s what investors see …

Vanguard Eliminates Fees on Online Trading of Rivals’ ETFs

In August, Vanguard will let clients trade online nearly all of the 1,800 non-Vanguard ETFs for free.

Schwab to Pay $2.8M Over Suspicious Trades by Indie Advisors

Company failed to report suspicious activity by 37 independent advisors Schwab had terminated in 2012 and 2013.

Video

Why Your Succession Planning is Important to HNW Clients

They want to know that your practice will always be there.

Video [ 3:43 ]

Transcript

Fidelity Will Charge Consultants for Access to Advisors

New platform will charge consultants 18% of each contract awarded.

Morgan Stanley’s Top Lawyer is Quietly Building a Third U.S. Political Party

Eric Grossman’s Serve America Movement has attracted hundreds of thousands from Wall Street and former Big Tobacco executives.

Merrill Lynch Introduces Mobile Tech in Push for New Business

Wirehouse launches mobile technology to make life easier for clients and advisors alike.

ThinkTank: Latest Published Content

More than two billion reasons to consider investing in the emerging markets consumer
Columbia Threadneedle Investments

Discussing the Challenge of Health Care Costs in Retirement
Nationwide

Month in Cash: No more normal?
Federated Investors

Navigating the Emerging New Market Dynamic
Tematica Research

Canada’s ‘Rudest Awakening’ May Come From Debt‑Saddled Consumers
PIMCO

Topics

All Topics

The Client - Finding and winning new clients LPL Lures Yet Another Bank-Based Advisor Practice ... Here's How They Did it Amid Falling Markets, B-Ds and Retail Brokerages Post Strong Revenue Hightower Adds $2.6 Billion RIA	The Client - Client retention Hightower Adds $2.6 Billion RIA LPL Lures Yet Another Bank-Based Advisor Practice ... Here's How They Did it Amid Falling Markets, B-Ds and Retail Brokerages Post Strong Revenue
The Client - ERISA plans/institutional management Maryland, Nevada Push for State-Level Fiduciary Rules Oregon Ready to Help Other States Set Up Auto-IRA Programs	The Client - Behavioral finance Almost Half of Federal Workers Fell Behind on Bills During Shutdown How FAs Can Overcome Their Clients’ Annuity Aversion

The Assets - Portfolio management Commonwealth Offers MassMutual Access to Its Wealth Management Tech Platform Merrill Lynch and UBS Decry Deficits in Specialist Data	The Assets - Insurance planning Variable Annuities are Still Being Recommended — Despite Ohio National Fallout How FAs Can Overcome Their Clients’ Annuity Aversion
The Assets - Estate planning Follow These Signs to Avoid Picking the Wrong Trust Provider Why FAs Piled into ETFs Last Year and Will Further the Trend in 2019	The Assets - Tax planning Merrill Lynch Asks Court to Toss Class-Action Alleging "Misleading and Deceptive" Marketing New Tax Shelter Rules Might Move Forward Too Late Due to Government Shutdown How the 0.1% Lose Their Money, According to Family Offices

The Practice - Technology LPL Lures Yet Another Bank-Based Advisor Practice ... Here's How They Did it Commonwealth Offers MassMutual Access to Its Wealth Management Tech Platform Wells Fargo's Online Outages and New Fee Give Some Pause	The Practice - Fees and compensation Ex-Merrill Lynch FA Fired and Barred Over Bypassing Internal Controls Variable Annuities are Still Being Recommended — Despite Ohio National Fallout Wells Fargo's Online Outages and New Fee Give Some Pause
The Practice - Staffing and recruiting What Jay-Z Wants, Finra Insists It Already Has Ex-Merrill Lynch FA Fired and Barred Over Bypassing Internal Controls Finra Sues Ex-Broker Over Failing to Disclose Sexual Misconduct Felony	The Practice - Regulatory/legal issues What Jay-Z Wants, Finra Insists It Already Has Ex-Merrill Lynch FA Fired and Barred Over Bypassing Internal Controls Finra Sues Ex-Broker Over Failing to Disclose Sexual Misconduct Felony

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