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SEC, DOL Team Up on Fiduciary Rule As States Ponder Their Own

State lawmakers reach out to Nevada following the state’s passage of fiduciary standard law.

What Some BDs are Doing Wrong in Cybersecurity

Finra offers a laundry list of what broker-dealers need to do to get up to speed.

Morgan Stanley Loses $270M Trio to Ameriprise

Wirehouse continues losing veteran advisors.

Platform Aims to Scale for Any Client Wealth Level

Financial planning tech platform to use funds for expanding functionality of software.

Video

Holistic Advice is the New Norm

And keeping up with technology is now one of the biggest challenges FAs face.

Video [ 1:26 ]

Transcript

ThinkTank: Investing

Your Young Client in 5 Words or Less: Broke, Scared, and Snap Obsessed
WBI Investments

MSCI to add China A-Shares to emerging markets index: What does it mean for investors?
Invesco Ltd.

Hey, You, Get Off My Cloud
Smead Capital Management

Investors must be flexible
iSectors, LLC

Topics

All Topics

The Client - Finding and winning new clients Platform Aims to Scale for Any Client Wealth Level Fidelity: Tech Gap Widens Between Haves, Have-Nots	The Client - Client retention Holistic Advice is the New Norm FCC Might be Making It Easier to Scam Older Clients
The Client - ERISA plans/institutional management LPL Bars Brokers from 401(k) Rollover Advice The DOL's Fiduciary Rule is Here … But For How Long?	The Client - Behavioral finance The Old Ways Increasingly Leave Investors Behind Clients with Volatile Income Must Plan for Downtimes

The Assets - Portfolio management America’s Top 300 RIAs Revealed	The Assets - Insurance planning Specialty Firm Plans Expansion with Dynasty’s Help When Small Business Owners Make Bad Decisions
The Assets - Estate planning Business Owners Need More Estate Planning Death and Taxes in an Uncertain Policy Landscape	The Assets - Tax planning Options Niche Leads Morgan Stanley Advisor to RBC Nobody Knows Your Client’s Tax Implications Like You

The Practice - Technology Platform Aims to Scale for Any Client Wealth Level What Some BDs are Doing Wrong in Cybersecurity Edward Jones, Morgan Stanley Lead in Online Searches	The Practice - Fees and compensation FAs Unhappy with How Firms Handle Pay Post-DOL Rule How Indie Firm Clout is Growing to Compete
The Practice - Staffing and recruiting Morgan Stanley Loses $270M Trio to Ameriprise Will the Wirehouse Training Refocus Pay Off?	The Practice - Regulatory/legal issues SEC, DOL Team Up on Fiduciary Rule As States Ponder Their Own What Some BDs are Doing Wrong in Cybersecurity SCOTUS Ponders Whistleblower Protections, Eyes SEC Judge Selection

1	Key Morgan Stanley Exec Defects to Merrill Lynch
2	$245M Morgan Stanley Duo Breaks Away
3	Finra’s Crackdown on High-Risk Brokers is Underway
4	Morgan Stanley Lets Advisors Text Clients
5	Broker-Dealers Call for End to Regulation by Enforcement

1	Key Morgan Stanley Exec Defects to Merrill Lynch
2	Morgan Stanley Lets Advisors Text Clients
3	LPL Bars Brokers from 401(k) Rollover Advice
4	America’s Top 300 RIAs Revealed
5	Broker-Dealers Call for End to Regulation by Enforcement

1	FCC Might be Making It Easier to Scam Older Clients
2	Morgan Stanley Lets Advisors Text Clients
3	America’s Top 300 RIAs Revealed
4	LPL Bars Brokers from 401(k) Rollover Advice
5	Summer Strategies: Stay in Touch with Vacationing Clients

S	M	T	W	T	F	S






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