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September 15, 2017

SEC Reveals 5 Serious Violations in RIA Marketing
Regulator issues risk alert outlining RIAs’ most common failures.
ETFs Change How Advisors Relate to Clients
Fast-tracking investment chitchat leaves more time for the big picture.
Ex-Morgan Stanley Rep Barred by Finra
Former advisor refused to testify about termination related to an arrangement with a client whom he later married.
Betterment Secures Two More Big-Name Managers
Robo pioneer starts offering third-party investment options for the first time.
If You’re Chasing Customers, Something is Wrong
Provide a service worth buying, and customers will come to you
ThinkTank: Latest Published Content