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January 19, 2018

Finra Member Fees Won’t Rise Despite Revenue Challenges
Finra will be relying heavily on its excess reserves rather than fines to support its operation.
Securities America Brings Finra-Compliant Texting to IBDs
Following Merrill’s move last week, indie-FA firm helps meet burgeoning client demand for flexible comms.
TD Ameritrade Lets RIAs Tap Third-Party Portfolios
Company calls the new offering an “Amazon-like shopping center of third-party models.”
Tax Law Creates Challenges and Opportunities for FAs
New law’s temporary nature makes long-term planning difficult, but changes are likely to push up demand for advice.
Helping Clients Organize for Their Afterlife
Financial advisors can do a lot to help clients plan for what happens when they are gone.