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July 21, 2015

Finra Says DOL Proposal Confusing, Bad for Small Investors
Regulator feels strongly that its own rules should guide department’s redraft.
Cyber Threats Through Third Parties a Sore Spot for BDs
Most have security in place, but all need to watch for Trojan horses.
SEC Steps Up Pay-to-Play Scrutiny of Mutual-Fund Companies
Regulator looks at over a dozen managers and how they incentivize FAs to sell their wares.
Financial Planning for the New Realities of Marriage
Advisors tell how last month’s SCOTUS decision impacts clients.
Poll
What’s Your Call on the Impact of Robo-Advice Offerings?

Do you see robo-advice platforms as more of a threat or an opportunity for flesh-and-blood financial advisors?

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