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The DOL Rule is Dead... For Real This Time

The Fifth Circuit Court of Appeals has finally issued the mandate, originally expected over a month ago, officially vacating the rule.

Banned Advisor Says He’s Vindicated by Supreme Court Win – No Need for a New Hearing

But if the SEC comes after him again – he says he’ll fight on.

Wells Fargo Loses Reps Collectively Managing Over Half a Billion

Advisors have recently jumped ship to Raymond James, RBC and Stifel.

Commonwealth Nabs $130M Team from Kestra

Incoming advisors cite a variety of available business models as a motivating factor for joining Commonwealth.

How to Disrupt Your Clients’ Stress Response

Understanding patterns in behavior help prevent irrational decisions.

Neither Clients Nor FAs Are Prepared for Longevity Risk

Majority of clients don’t have long-term care plans — and some advisors don’t even know if their clients have one.

ThinkTank: Latest Published Content

Battle Royale: The Market’s Struggle for Direction
City National Rochdale

White paper: When can risk mean opportunity?
Columbia Threadneedle Investments

Avoiding the risk of standing still
Russell Investments

Can alternative investments help in uncertain markets?
Invesco Ltd.

Client Conversations: Why Rising Rates Can Be Good for Your Portfolio
Hartford Funds

Evolutions in Growth, Trade and Geopolitics
Pacific Investment Management Company LLC

Topics

All Topics

The Client - Finding and winning new clients Morgan Stanley Loses $175 Million FA to Stifel JPMorgan Seeks Temporary Injunction Against Rep Who Left For Merrill Lynch Commonwealth Nabs $130M Team from Kestra	The Client - Client retention Neither Clients Nor FAs Are Prepared for Longevity Risk Commonwealth Nabs $130M Team from Kestra Morgan Stanley Loses $175 Million FA to Stifel
The Client - ERISA plans/institutional management Merrill Lynch Mulls Reversing Ban on Commission-Based Retirement Accounts	The Client - Behavioral finance How to Disrupt Your Clients’ Stress Response Neither Clients Nor FAs Are Prepared for Longevity Risk

The Assets - Portfolio management The DOL Rule is Dead... For Real This Time How to Disrupt Your Clients’ Stress Response NFL Players Will Only Deal with CFPs or CFAs	The Assets - Insurance planning Fifth Third Sanctioned $6M Over Annuity Disclosure Failures DOL Rule Demise Coincides with Growing Popularity of Hybrid Annuities, says Nationwide Boss
The Assets - Estate planning FAs Expect More Controversies Like Marvel Icon Stan Lee’s Senior Abuse Woes Raymond James Rolls Out Tool for Gathering Client Asset Data	The Assets - Tax planning How to Disrupt Your Clients’ Stress Response Advisors to Lobby Washington on Priority Regulatory, Tax Issues

The Practice - Technology Here’s How Finra Judges Your Suitability Standard U.S. Bancorp Launches BlackRock Robo, SigFig Gets $50M Infusion, and Robos May Soon Get Ethical Focus Financial Leads Investment Round for Lead Generation Platform	The Practice - Fees and compensation Morgan Stanley Loses $175 Million FA to Stifel Merrill Lynch Admits Wrongdoing in Order Routing The DOL Rule is Dead... For Real This Time
The Practice - Staffing and recruiting JPMorgan Seeks Temporary Injunction Against Rep Who Left For Merrill Lynch Wells Fargo Loses Reps Collectively Managing Over Half a Billion Commonwealth Nabs $130M Team from Kestra	The Practice - Regulatory/legal issues Here are the Big Flaws in the SEC’s Best Interest Proposal Here’s How Finra Judges Your Suitability Standard Merrill Lynch Mulls Reversing Ban on Commission-Based Retirement Accounts

1	Wells Fargo Reportedly Merging Brokerages
2	Five Advisors Charged in $102 Million Ponzi Scheme
3	Morgan Stanley Loses $175 Million FA to Stifel
4	Merrill Lynch Mulls Reversing Ban on Commission-Based Retirement Accounts
5	NFL Players Will Only Deal with CFPs or CFAs

1	Wells Fargo Reportedly Merging Brokerages
2	NFL Players Will Only Deal with CFPs or CFAs
3	Merrill Lynch Mulls Reversing Ban on Commission-Based Retirement Accounts
4	Banned Advisor Wins Supreme Court Fight for New SEC Hearing
5	Here’s How Finra Judges Your Suitability Standard

1	Wells Fargo Reportedly Merging Brokerages
2	NFL Players Will Only Deal with CFPs or CFAs
3	Here’s How Finra Judges Your Suitability Standard
4	Merrill Lynch Admits Wrongdoing in Order Routing
5	How BrokerCheck Source Overhaul Could Cut Your Compliance Costs

S	M	T	W	T	F	S






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